The CARE International Code

Transcription

Section 2 - Fundamentals
The CARE International Code
Updated October 2011
Section 1 - Introduction
Section 1 Introduction
CARE International Code
Page 1
Background
Assembled herewith, are current policy papers, guidelines and
constitutional documents, relating to the work of CARE
International.
The Code is envisaged as a living document. Its scope and
content to be expanded or altered as indicated by the Board of
Directors.
New or revised documents to be appropriately indexed and
added to this loose-leaf binder.
Original November 1996
Updated March 2004
Updated October 2011
Page 2
Index – Table of Contents
Section 1 - Introduction ........................................................................................................... 1
Background ..................................................................................................................... 2
Index – Table of Contents ................................................................................................ 3
Index – Table of Figures ................................................................................................... 5
Index – Table of Annexes ................................................................................................. 5
List of Approved Amendments......................................................................................... 7
Section 2 - Fundamentals ...................................................................................................... 12
Statutes of CARE International ....................................................................................... 12
CARE International Governance ..................................................................................... 26
CARE Vision and Mission ............................................................................................... 39
CI Programming Principles ............................................................................................. 41
Humanitarian Mandate ................................................................................................. 43
Section 3 - CARE International Codes of Conduct .............................................................. 46
Code of Ethics ............................................................................................................... 47
Code of Conduct ............................................................................................................ 49
Section 4 - New CI Membership ............................................................................................ 57
New Membership in CARE International Criteria and Procedures.................................... 58
Criteria.......................................................................................................................... 58
Affiliate Membership .................................................................................................... 63
Section 5 - Country Presence ................................................................................................ 66
Policy ............................................................................................................................ 67
Criteria.......................................................................................................................... 71
Procedures .................................................................................................................... 76
Sample Basic Country Agreement .................................................................................104
Section 6 - Definitions, Roles & Responsibilities............................................................... 109
Lead Member, Developing Country Member, Country Office and CARE Member Partner110
Country Director ..........................................................................................................141
Chairperson .................................................................................................................151
Treasurer .....................................................................................................................155
Secretary General.........................................................................................................157
Section 7 - CARE International and the European Union .................................................. 162
Page 3
CARE’s Relations with the European Union ...................................................................163
Policy on Shared Administrative Costs on EU Projects ...................................................166
Section 8 - Emergency Response Coordination ................................................................ 168
Humanitarian Mandate ................................................................................................171
Mandates, Roles and Responsibilities ...........................................................................172
CARE’s Commitment to International principles and standards ......................................180
Key Protocols ...............................................................................................................181
Section 9 - Personnel Policy & Guidelines ......................................................................... 189
Section 10 - Advocacy ......................................................................................................... 190
Advocacy Procedures and Sign-offs ...............................................................................191
Section 11 - Conflict Resolution .......................................................................................... 196
CI Conflict Resolution Guidelines ..................................................................................197
Section 12 – Media and Communications .......................................................................... 198
Overview .....................................................................................................................199
Principles and Procedures for Communications and Advocacy .......................................199
CARE and the Media .....................................................................................................205
Section 13 – Reference Papers ........................................................................................... 207
CI Project Standards .....................................................................................................208
Rationale and Definition for Program Approaches .........................................................209
Policy for Engaging in Private Fundraising Activities in Countries with No CI Presence ....212
Policy Framework for CI’s Relations with Military Forces ...............................................217
Gender Policy ...............................................................................................................235
Policy on Prevention and Response to Sexual Exploitation and Abuse............................243
CI Safety and Security Principles ...................................................................................243
Guidelines & Procedures for Safe Travel to Country Offices ...........................................243
Managing Staff Detention Abduction and Similar Incidents ...........................................243
Section 14 - CI Internal Agreements ................................................................................... 243
CI Inter-Member Memorandum of Understanding Template .........................................243
Individual Project Implementation Agreement ..............................................................243
Pre-Individual Project Implementation Agreement........................................................243
Section 15 - Commercial Contracting ................................................................................. 243
Background ..................................................................................................................243
Proposed Protocol ........................................................................................................243
Section 16 - Marketing ......................................................................................................... 243
Page 4
Fundraising Code of Ethics and Standards of Practice ....................................................243
Standards of Practice for Private Donor Fundraising ......................................................243
Ethical Guidelines on Engagement with Corporations ....................................................243
Index – Table of Figures
Figure 1: CI Governance & Board Committee arrangements............................................ 27
Figure 2: CI Board Standing Committees......................................................................... 28
Figure 3: Executive Committee (Excom) sub-committees ................................................ 31
Figure 4: Proposed Calendar of Meetings ....................................................................... 32
Section 8 - Emergency Response Coordination ................................................................ 168
Figure 5: Member Responsibilities in an Emergency ......................................................177
Figure 6: What determines emergency type? ................................................................182
Figure 8: Gender Equality & Diversity and the CARE Programming Principles .................242
Index – Table of Annexes
Annex A: Terms of Reference of the CI Board ................................................................. 33
Annex B: Terms of Reference of the Executive Committee (Excom)................................. 34
Annex C: Terms of Reference of the Finance, Audit & Risk Committee (FAR) ................... 35
Annex D: Terms of Reference of the H.R. Safety and Security Committee (HRSSC) ........... 36
Annex E: Terms of Reference of the Governance and Nominations Committee (G&N) ..... 37
Section 3 - CARE International Codes of Conduct .............................................................. 46
Annex A: Recommendations to the Government of Disaster-Affected Countries ............. 54
Annex B: Recommendations to the Donor Government.................................................. 55
Annex C: Recommendations to the Intergovernmental Organisations............................. 56
Annex A: Operating scenarios .......................................................................................225
Annex B: References.....................................................................................................229
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Annex C: Field Office Checklist ......................................................................................234
Annex A: Gender Policy ................................................................................................238
Annex A: SAMPLE TEMPLATE - Record of Emergency Data (RED)....................................243
Annex B: SAMPLE TEMPLATE - Acceptance of personal responsibility ............................243
Annex C: SAMPLE TEMPLATE - Travel Checklist..............................................................243
Annex D: SAMPLE TEMPLATE - Country Office Briefing ..................................................243
Page 6
List of Approved Amendments
1
2
3
4
5
6
7
8
9
10
Approval
Name of Document
May
31/June 1,
1997
ZAGREB
May 23/24,
1998
GUATEME
LA
May 23/24,
1998
GUATEME
LA
November
1998
BERLIN
May 14,
1999
OSLO
November
13, 1999
CAMBODIA
Role & Responsibilities of a
Country Director
5
Whole document
Guidelines for Advocacy
9
Addition only
Commercial Contracting
14
Addition only
Fundraising Code of Ethics
and Standards of Practice
15
Addition only
Statutes - Appendix to Article
VIII
1
Addition only
Definition & Responsibilities of
a Lead Member & Country
Office
5
November
13, 1999
CAMBODIA
November
11, 2000
NEW
DELHI
CI Internal Cooperation
Agreements
13
Statutes
1
JUNE 2,
2001
ATLANTA
JUNE 2,
2001
ATLANTA
Statutes
1
Insert of paragraph 2 under
D. Other Roles &
Responsibilities
(replacement of p. 10 +
addition of p. 11)
Addition of Project
Implementation Agreement
Template
Addition of the word
“advocacy” in Appendix I
Addition of Appendix II:
Role and Responsibilities of
the CI Board
Addition of Appendix III:
CI Nominations Committee
TORs
Replacement of statutes
Role and responsibilities of the
CI Board
5
Addition
Section
Amendments
Page 7
Approval
Name of Document
Section
JUNE 2,
2001
ATLANTA
JUNE 2,
2001
ATLANTA
JUNE 2,
2001
ATLANTA
JUNE 2,
2001
ATLANTA
MAY 25,
2002
LIMA
MAY 25,
2002
LIMA
SEPT 18,
2002
BRUSSELS
Nominations’ Committee
5
Addition
Chairperson
5
Addition
Treasurer
5
Addition
Secretary General
5
Replacement
CI Nominations Committee –
Terms of reference
5
Replacement
General Assembly
5
Addition
CI International Cooperation
Agreement
13
18
OCT 2002
CI
Secretariat
19
OCT 2002
CI
Secretariat
New CI Membership, Country
Presence, Emergency
Operations, Controversial
Comments and Advocacy,
Conflict Resolution
Country Presence, Emergency
Operations, Controversial
Comments and Advocacy,
Conflict Resolution
Replacement of the Project
by the Project
Implementation Framework
Agreement
Addition of Individual PIA
Replacement or deletion of
the word “Executive”, as per
the SPC recommendation.
20
NOV 2000
NEW
DELHI
MAY 2002
LIMA
March 2004
CI
Secretariat
March 2004
CI
Secretariat
March 2004
11
12
13
14
15
16
17
21
22
23
24
3, 4, 7, 9,
10
Amendments
4, 7, 9, 10
Replacement of the word
“President” by “Chairperson”,
as per the SPC
recommendation.
Reference Papers
12
Addition of Policy Framework
for CI’s Relations with Military
and Paramilitary Forces
Reference Papers
12
Addition of CI Project
Standards
Policy on shared Country
Office costs and Administrative
Costs on EU Projects
6
Addition
Emergency Fund Policy
7
Addition
Ethical Guidelines on
15
Addition
Page 8
Approval
Name of Document
CI
Secretariat
November
1999
Phnom
Penh
(Cambodia)
November
2003
Paris
March 2007
Geneva
November
2007
Addis
Ababa
November
2008
Johannesb
urg
November
2008
Johannesb
urg
February
2009
Brussels
June 2009
The Hague
Engagement with Corporations
33
June 2009
The Hague
34
September
2009
Excom
Telecon
November
2009
Canberra
February
2010
Excom
25
26
27
28
29
30
31
32
35
36
37
June 2010
Section
Amendments
Vision And Mission
1
Addition
Programming Principles
1
Replacement
Humanitarian Mandate
1
Addition
Policy Private Fundraising
Countries No CI Presence
12
Addition
Safety and Security Principles
12
Addition
CI Governance
1
Addition
Gender Policy
12
Addition
Policy Framework Civil-Military
Relations
12
Advocacy
(A Process for Advocacy in
CARE International)
Policy on Prevention and
Response To Sexual
Exploitation and Abuse
9
12
Replace previous 12-3 CI’S
RELATIONS WITH
MILITARY AND
PARAMILITARY FORCES
Replacement
i.e. of “Controversial
Comments and Advocacy”
Addition
Guidelines & Procedures for
Safe Travel to Country Offices
12
Addition
Principles of Engagement
Between Country Offices,
CARE Member Partners and
Lead Members
The Care International
Foundation Statutes
5
Addition
1
Replacement of statutes
(Updated)
Page 9
Approval
Name of Document
Section
Amendments
London
38
June 2010
London
39
Jan 2011
Excom
Telecon
June 2011
Vienna
June 2011
Vienna
40
41
Approved Recommendations
on CI affiliate membership
(Nov 09)
Rationale and Definition for
Program Approaches
3
Addition i.e. “03-2 Affiliate
Membership”
12
Addition
Country Director Appraisal
Format
12
Deleted
Expatriate Personnel Policy
08
42
June 2011
Vienna
CARE International InterMember Memorandum of
Understanding
13
43
June 2011
Vienna
June 2011
Vienna
June 2011
Vienna
June 2011
Vienna
June 2011
Vienna
June 2011
Vienna
Individual Project
13
Pre- Individual Project
13
Deleted
New Personnel Policy &
Guidelines to be drafted
Replacing “Format
Agreement of Cooperation
Between Members” including
referenced Cooperation
Agreements
Replacement of “Project
Implementation Agreement”
Addition
R&R General Assembly
5
Delete
R&R Nominations’ Committee
5
Delete
R&R Board
5
Delete
Emergency Response
Coordination
7
June 2011
Vienna
Media and Communications
11
Replacement of “Emergency
Operations”
plus inclusion of
Humanitarian Mandate (as
approved March 2007 –
Geneva)with proposed
amendment ERWG May
2011
Replacement
Previous “CARE & the
Media” deleted as obsolete.
New section draws on
content of previous chapter,
current COMWG TOR, media
training module, relevant
sections of newly completed
CI Communications
Handbook (under preparation
by COMWG) and cross
reference chapter 9
44
45
46
47
48
49
Page 10
Approval
50
June 2011
Vienna
Name of Document
Definitions, Roles &
Responsibilities Of A Lead
Member, Developing Country
Member, Country Office &
CARE Member Partner
Section
5
Amendments
Advocacy Procedures and
Sign-offs
Replacement of “Definition &
Responsibilities of a Lead
Member & Country Office”
and “Rights and
Responsibilities of a NonLead Member”
NB Incorporates “Principles
of Engagement Between
Country Offices, CARE
Member Partners and Lead
Members”
Page 11
Section 2 Fundamentals
Statutes of CARE International
Revised June 5, 2010
Page 12
Name, Location, Duration and Purpose
Article 1 – Name and Oversight
The CARE International Foundation (The Foundation) is established in conformity with the
present statutes as well as Article 80 et seq. of the Swiss Civil Code.
The Foundation is registered at the Registre du Commerce and is subject to the oversight of
the competent Federal Authorities.
The Foundation is licensed by agreement with the Cooperative for Assistance and Relief
Everywhere ("CARE USA") to use in its activities the registered trademark "CARE" or other
related trademarks and service marks registered by CARE USA and to use for itself the
same compound name.
Article 2 – Purpose
The National CAREs are autonomous non-profit philanthropic, charitable organisations, each
established in a different country, and pursuing the objectives in Article 8 (i).
The Foundation is a philanthropic organization established for the purpose of helping to
combat hunger, sickness and poverty, to provide emergency relief and to contribute to
ecologically sustainable, social and economic development in developing countries and other
geographical areas of need.
The Foundation in addition pursues, coordinates, complements, expands and promotes in
every possible way and throughout the world, the work of National CAREs that are members
of CARE-International (Members) or affiliate members of CARE International (Affiliates).
Nothing in these statutes shall be taken to imply that the Foundation will act, or be seen to
act, as if occupying a controlling position in respect to its Members or Affiliates.
The Foundation shall remain independent of any political, religious or other affiliation. Its
activities shall be conducted without regard to political or religious considerations.
The Foundation is distinct from CARE International, which is the network created by the
Members and the Foundation, operating under a common vision and mission, and guided
and regulated by the contents of the CARE International Code.
Article 3 – Location
The Foundation is located in Vernier (canton of Geneva).
Article 4 – Duration
Page 13
The duration of the Foundation is open-ended notwithstanding the provisions of these
Statutes regulating its dissolution.
Capital, Resources, and Finance
Article 5 – Capital
The Foundation is established with an initial capital of CHF 100,000.
Article 6 – Resources
The Foundation shall be financed by assessed or voluntary contributions from or through its
Members, and may on decision by its Board (the Board of the Foundation) accept
contributions from other sources, including donors in countries without a national CARE
organisation and other public sources of support.
The Foundation resources may also include income derived from its assets and activities, as
well as any donations, legacies and bequests or subsidies it may receive. The Board of the
Foundation will have full authority to accept or reject such contributions.
The Foundation’s assets must be invested in accordance with the Law.
Organization
Article 7 – Governing Bodies of the Foundation
The governing bodies of the Foundation are:
A.
B.
C.
D.
The Board of the Foundation
The Board Executive Committee
The Officers of the Board
The External Auditors
Article 8 – Membership of CARE International
Membership of CARE International may be granted by the Board of the Foundation to any
organisation established in accordance with all legal requirements in their respective
countries, whose membership in CARE International is determined to be in the best interest
of CARE International, and which is considered by the Board of the Foundation as meeting
the following conditions:
Page 14
i.
It is a philanthropic organization established for the purpose of helping to combat
hunger, sickness and poverty, to provide emergency relief and to contribute to
ecologically sustainable, social and economic development in developing
countries and other geographical areas of need.
ii.
It has the necessary means to raise the funds needed to finance its operations.
iii.
It is licensed by agreement with CARE USA to use the registered trademark
“CARE” or other related trademarks and service marks registered by CARE USA.
iv.
It has furnished a written representation to the Foundation stating that, so long as
it is a Member, it will support, participate, assist in and undertake only those
activities, programmes and projects of relief and development that are consistent
with CARE International’s vision and mission and that comply with policies,
standards and criteria agreed to by the Board of the Foundation.
Article 9 – Obligations of Membership
In their activities, statements, fundraising and affiliations National CAREs will meet the high
professional and moral standards of CARE International, will comply with the requirements of
the CARE International Code, and will adhere to the following obligations:
i.
Members will be administered in accordance with the applicable laws of their
respective countries, with due and proper responsibility exercised in all financial
matters.
ii.
Members will disclose promptly to CARE International, via the Secretariat of The
Foundation (the Secretariat), any difficulties they experience which may impinge
upon their viability, work or reputation, or any matter whatsoever which may
adversely affect CARE International or any other of its Members.
iii.
Members will present to CARE International, via the Secretariat, information
necessary to measure compliance with standards established from time to time
by the Foundation and to assess the performance and condition of their
organisation, including:
a. accounts audited in accordance with recognised accounting principles and
practices on an annual basis;
b. annual reports;
c. annual status reports on programmes and evaluations;
d. reports on new, ongoing or proposed programmes and activities.
iv.
Members will ensure that their funds are applied only to the purposes listed in
Article 8(i) and that fundraising literature is accurate. Funds from official sources
will only be accepted if they do not imply acceptance of the donor's policies in
any matter which would compromise CARE International’s principles and policies
as defined by the Board of the Foundation.
Page 15
v.
Members will provide complete and accurate public financial disclosure.
vi.
Members will register with the Foundation any kind of arrangement or agreement
between two or more of them, relating to the transfer of funds.
vii.
Members will undertake to protect the name and trade service marks of CARE
USA.
Article 10 – Affiliate Membership of CARE International
Affiliate Membership of CARE International may be granted by the Board of the Foundation,
on the recommendation of the Board Executive Committee, to an organisation that seeks to
become a Member of CARE International in the future. Such organisations will be
established in accordance with all legal requirements in their respective countries and will be
subject to the conditions of Affiliate Membership contained in the CARE International Code.
Article 11 – Termination or Suspension of Membership and Affiliation
Any National CARE may, upon one year’s written notice to the Board of the Foundation,
terminate its membership or affiliation in CARE International.
The Board of the Foundation may, on the advice of the Board Executive Committee, and
after having heard the National CARE concerned, suspend or terminate membership or
affiliation if it determines, by the vote of a two-thirds majority of all Members, either that the
Member or Affiliate no longer meets the criteria set forth in Articles 8 and 9 of these statutes,
or that such continued membership or affiliation would not be in the best interest of CARE
International.
Any Member or Affiliate who terminates its membership or whose membership is terminated
will be bound to fulfil all obligations and commitments to the Foundation up to the effective
date of such termination, and after that date will no longer make any use of the name
"CARE" or any of its related trademarks, service marks or trade names.
In the event of the termination of the membership of CARE USA, the Foundation will
promptly take the appropriate legal steps to change its name and will, after the effective date
of this termination, no longer use the name "CARE" or any of the other trademarks, service
marks or trade names owned by CARE USA.
The Board of the foundation (The Board)
Article 12 – Delegated Trustees and Independent Trustees
The Board is composed of:
Page 16
•
•
Two delegates appointed by each National CARE that is a Member of CARE
International (Delegated Trustees)
Up to five persons elected by the Board as Independent Trustees, including the
Chairperson of the Board (the "Chairperson")
Article 13 – Delegated Trustees
The Delegated Trustees are the representatives of their respective National CAREs,
appointed by written notice to the CARE International Chairperson. One of the two Delegated
Trustees is a member of the National CARE Board (usually the Chairperson), while the other
is the National CARE chief executive officer.
Each Delegated Trustee has one vote, and serves until the Chairperson receives written
notice from the appointing National CARE of replacement or removal, which shall be
effective from the date specified by the Member.
Any National CARE may, by notice to the Chairperson, appoint an alternate for a Delegated
Trustee who has cause to be absent from a meeting of the Board. Such an alternate may
vote and otherwise perform all functions of the absent Delegated Trustee.
Article 14 – Independent Trustees
Independent Trustees are respected persons who have relevant expertise that could
contribute to the furtherance of CARE's mission, e.g. relief, rehabilitation and development;
international co-operation; advocacy; donor funding and relations; etc.
Independent Trustees are elected by the Board from candidates proposed by the
Governance and Nomination Committee, and have one vote.
Article 15 – Meetings of the Board
The Board shall meet as often as circumstances so warrant, but not less that once a year, at
places and times determined by the Chairperson in consultation with the Secretary General.
Board trustees shall be entitled to receive notice of meetings of the Board at least twenty-one
days prior to the meeting to which such notice refers. Notification is made by mail, fax or
electronic mail.
A majority of trustees present shall constitute a quorum.
Except in cases where a qualified majority is required by these statutes, all decisions may be
taken by a simple majority of votes of Delegated and Independent Trustees present and
voting.
In case of a tie, the Chairperson shall have a second and casting vote.
Page 17
The minutes of the general meetings shall be kept in a book held at the registered office of
the Foundation.
The Board can have recourse to a correspondence vote provided that it be duly justified and
that the trustees be previously informed so that they can come to a decision with full
knowledge of the facts. Votes by correspondence shall be ratified at the next meeting of the
Board.
The Chairperson shall provide the agenda for meetings of the Board taking into account
suggestions from the trustees.
Article 16 – Duties and Responsibilities of the Board
The Board is the primary governing body of the Foundation, fully accountable vis a vis third
parties.
The Board manages and administers the Foundation according to existing Laws and
Regulations, the Statutes of the Foundation, the CARE International Code, and the specific
rules and regulations of the Federal Oversight Authority.
As specified in the notice of the meeting, trustees shall convene, inter alia, for the purpose of:
i.
Providing for membership representation and a forum for the confederation
ii.
Enhancing and preserve CARE International’s good name and reputation
iii.
Determining CARE International’s mission and purposes
iv.
Endorsing and amending CARE International’s Statutes
v.
Approving/modifying the CARE International Strategic Plan
vi.
Monitoring the overall health of CARE International and exercising effective
oversight with respect to the performance and standards of CARE International
members
vii.
Approving policies for addition to the CARE International Code
viii. Granting and terminating membership of CARE International
ix.
Imposing sanctions on any Member found to be in breach of CARE
International’s rules and regulations
x.
Appointing office-bearers and Independent Trustees
xi.
Appointing the external auditors of the Foundation
xii.
Approving the annual audited accounts of the Foundation
Page 18
xiii. Assigning signatory rights for the Foundation
xiv. Fulfilling the work of the Board Executive Committee, Governance and
Nominations Committee, and the Finance, Audit and Risk Committee.
xv.
Appointing and dismissing the Secretary General
xvi. Approving the Secretariat budget
xvii. Assessing its own performance and take appropriate measures to improve it
xviii. Deciding any other business referred to it in writing by the Board Executive
Committee, or by any two or more Members, no later than 30 days prior to the
meeting of the Board at which such business is to be decided.
All matters not specifically delegated by these Statutes, or guidelines contained in the CARE
International Code, to other Foundation governing entities are the responsibility of the Board.
The Board Executive Committee “The Executive Committee”
The Executive Committee operates as a standing committee of the Board, and acts on behalf
of the Board in between meetings, ensuring the implementation of Board decisions. The
Executive Committee roles and responsibilities are contained in the CARE International
Code, and include: overseeing the work of the Secretariat, maintaining an overview of the
performance of Members and Affiliates, and, through a number of sub-committees,
overseeing the implementation of joint strategic initiatives undertaken by the membership.
The Executive Committee comprises between nine and eleven Board trustees and the
Secretary General in a non-voting capacity, and is composed as follows:



The Chairperson of CARE International, who is also chair of the Executive Committee
One Delegated Trustee per National CARE with responsibility for managing 5 or more
country offices, defined as ‘Long-term Presence’ in the CARE International Code.
One Delegated Trustee per National CARE that contributes 5% or more of CI’s total
income (averaged over 3 years), but that does not have responsibility for managing 5
or more country offices
The remaining Executive Committee places are appointed by the CI Chairperson for single,
non-renewable two year terms. These appointed places will always include two Delegated
Trustees who sit on National CARE boards in a non-executive capacity, and at least one
Delegated Trustee who represents a National CARE from the Global South. When making
the appointments the Chairperson will ensure that no National CARE will have more than
one seat on the Executive Committee at any one time, which, together with the single two
year term, will allow all National CAREs to be represented on the Executive Committee over
time.
Page 19
The Executive Committee shall be accountable to the Board and shall meet at least three
times a year, or more often when circumstances so warrant. The Executive Committee may
delegate the performance of such of its duties to the Secretary General as it may deem
necessary from time to time.
Other Board Standing Committees
The Board shall establish two other standing committees, which are the Finance, Audit &
Risk Committee, and the Governance & Nominations Committee, and any other committee
that from time-to-time may be needed to support the governance of the Foundation and the
work of CARE International.
Article 17 – The Finance, Audit & Risk Committee
The Finance, Audit & Risk Committee operates as a standing committee of the Board, in
accordance with guidelines contained in the CARE International Code. In doing so, the
committee oversees the Secretariat’s budget, financial administration and audit functions,
monitors financial performance and risk within CARE International’s membership, and
recommends to the Board financial policies and standards, as appropriate.
The Finance, Audit & Risk Committee is chaired by the CARE International Treasurer. The
Chairperson shall appoint the remaining committee places for single, non-renewable three
year terms.
Article 18 – The Governance & Nominations Committee
The Governance & Nominations Committee operates as a standing committee of the Board,
in accordance with guidelines contained in the CARE International Code. In doing so, the
committee proposes candidates for election as Officers and Independent Trustees; advises
the Board on measures to maintain and strengthen CARE International’s governance;
oversees implementation of such measures; and exercises such other powers and authority
as may be delegated to it from time to time by the Board.
The Governance & Nominations Committee is composed of up to six members including its
Chair, appointed by the Board for single non-renewable three year terms. The Chair is
elected by the committee from within its own membership.
Office of the Board
Article 19 – Composition & Appointment
The Officers of the Board are:
- The Chairperson
- The Vice-Chairperson
Page 20
-
The Treasurer
The Board shall elect the Officers from candidates identified by the Governance and
Nominations Committee. The Chairperson is elected as an Independent Trustee, while the
Vice-Chairperson and Treasurer are a elected from Delegated Trustees serving in a nonexecutive capacity on their respective National CARE boards.
The terms of the Officers shall be three years and begin immediately after the meeting at
which he or she was elected. No individual will be elected to the same office for more than
two terms.
Any elected officer may be removed by the Board whenever, in its judgement, the best
interest of CARE International will be served thereby.
Any vacancy occurring in any office of the Foundation may be temporarily filled by resolution
of the Executive Committee, effective until the next meeting of the Board.
Article 20 – Chairperson
The Chairperson is an Independent Trustee and is the chairperson of both the Board and the
Executive Committee. The Chairperson serves the organisation in a volunteer capacity. The
Chairperson presides over the governance structure of CARE International, providing
leadership in the setting of strategy and policies and ensuring that reasoned decisions are
taken on the most important questions facing the organisation.
The Chairperson ensures that the Foundation stays focused on its mission and achieves its
goals. The Chairperson shall, inter alia:
i.
Ensure that the Board and its committees function effectively and fulfil their
assigned strategy-setting, policy-making and other governance functions;
ii.
Provide ongoing guidance and support to the Secretary General and ensure that
the Secretary General effectively performs the responsibilities delegated by the
Board and Executive Committee;
iii.
Promote a free and healthy flow of information within CARE International, staying
informed of important internal and external developments and ensuring that
members of the Board and Executive Committee receive all pertinent information
in a timely manner;
iv.
Serve as one of CARE International's most important and visible spokespersons,
providing high-level representation for the organisation in a wide range of
settings.
v.
Recommend to the Executive Committee or the Board such persons that the
Chairperson shall consider suitable for appointment to committees, other than the
Governance and Nomination Committee, established from time to time by these
bodies.
Page 21
The Chairperson shall make full reports to the Board of the business and affairs of CARE
International , and of all important matters and business acted upon between meetings of the
Board. In the event of the absence or disability of the Chairperson, the Vice-Chairperson
shall perform the duties of the Chairperson.
Article 21 – Vice-Chairperson
The Vice-Chairperson is a Delegated Trustee serving in a non-executive capacity on his or
her National CARE board, and performs the duties of the Chairperson in the event of the
Chairperson’s absence or disability.
Article 22 – Treasurer
The Treasurer is a Delegated Trustee serving in a non-executive capacity on his or her
National CARE board, and is the ex officio Chairperson of the Finance Audit and Risk
Committee. The Treasurer shall monitor, on behalf of the Board, the overall financial
condition and policies of CARE International, including:
i.
ii.
iii.
The financial plans, budgets and audited financial statements of the
Foundation;
The adoption and implementation of agreed common financial policies and
systems across CARE International; and
The financial health of CARE International and its member organisations.
The Secretary General shall provide to the Treasurer any information and documents of a
financial nature that the Treasurer may reasonably request.
Article 23 – Specific Duty and Responsibility of the Officers
Between Executive Committee sessions, the Officers take any appropriate action required to
serve the best interest of the Foundation, and carry any specific duty and responsibility as
delegated by the committee.
Duties and Responsibilities of the “Secretary General”
The Secretary General shall manage the day-to-day operations of the CARE International
Secretariat and its branch offices, under the general supervision and control of the Executive
Committee and the Chairperson.
The Secretary General shall provide input and
recommendations on matters of strategy and policy and carry out the decisions of the Board
and its Executive Committee. The Secretary General is also responsible for providing
support to Members and Affiliates, facilitating and promoting closer co-operation, developing
and recommending criteria and standards for CARE International membership/affiliation and
operations, and monitoring and ensuring compliance with such criteria and standards.
The Secretary General exercises executive authority over the operations of the Secretariat
and its branch offices, as well as any specific functions for which the Board or the Executive
Page 22
Committee grant the Secretary General such authority, and the Secretary General has full
authority to delegate specific responsibilities to his/her staff as he/she deems appropriate.
The Secretary General shall be authorised to employ, and dismiss Secretariat staff, and to
decide on their emoluments within the budget approved by the Board.
The Secretary General shall, inter alia:
i.
Provide support to the Chairperson, the Board and the Executive Committee in
fulfilling their governance responsibilities;
ii.
Work closely with the Member organisations to maximise their individual and
collective contributions to CARE International's vision and mission and to
resolve disputes between Members when required;
iii.
Pursue opportunities for the expansion of CARE International's membership;
iv.
Support and coordinate the interaction of national CAREs’ with the United
Nations system, the European Union and other multilateral institutions relevant
to CARE International’s mission; and
v.
Serve as CARE International's primary spokesperson, providing high-level
representation for the organisation.
The Secretary General shall be responsible for the timely preparation of the draft annual
budget of the Foundation.
The Secretary General shall ensure that true and accurate records and accounts of the
Foundation are maintained, and shall render to the Board annual and other reports in a form
and manner prescribed by them.
Legal Representation
The Foundation shall be represented by the Secretary General in respect of its day-to-day
operations.
In deeds and court proceedings, the Foundation shall be represented by the Chairperson
and the Secretary General or by the Secretary General and a member of the Executive
Committee appointed by the committee or by the Chairperson.
Indemnification
The Foundation shall indemnify all present and former trustees and officers against
expenses incurred in, or as a result of, any legal action they may be party to by reason of
their participation in the organisation, unless the action arises from illegal acts by such
persons.
Page 23
Regulations
The Board may issue one or several specific rules and regulations concerning the
procedures, organization, operations, duties and responsibilities of the various committees,
the trustees or the staff of the Foundation.
The Board may at any time amend such rules and regulations within the framework of the
overall mission of the Foundation.
All such rules and regulations are contained in the CARE International Code.
Amendments
After full notice of any amendment proposed has been given in the notice of the meeting of
the Board of the Foundation, these statutes may be altered or amended by the Members in
accordance with the conditions set out in Article 15 by the affirmative vote of a two third
majority of Members of the Board.
Any amendment to the statutes must be approved by the competent Federal Oversight
Authority.
Annual Fiscal Year
The fiscal year of the Foundation shall commence on the first day of July and end on the last
day of June.
Audit and External Auditors
The Foundation accounts are audited by qualified external auditors appointed annually by
the Board of the Foundation. The external auditors can be re-appointed.
The external auditors provide annually to the Board a written report, a copy of which is
submitted to the Federal Oversight Authority.
Dissolution
Should the Foundation not be in a position to operate any longer, or if circumstances warrant
it, the Foundation will be dissolved as envisaged in articles 88 and 89 of the Swiss Civil
Code.
Page 24
Any proposal to dissolve the Foundation must be specified in the notice of the meeting, and
may then be decided by the vote of a two-thirds majority of Board trustees.
In case of dissolution, no specific measures, in particular any liquidation of assets, can be
taken without the specific agreement of the Federal Oversight Authority who will form its
opinion based on a written report of the Board.
In case of dissolution the assets of the Foundation, if any, shall be distributed among the
Members at the discretion of one or more liquidators named by the Board, insofar as the
objectives of the Members continue to be in line with those of the Foundation. If it is not the
case, the remaining assets will be distributed to any charitable institutions pursuing an
objective in line with the founding principles of the Foundation and benefiting from tax
exemption. In no case, can the assets of the Foundation be distributed to individuals.
Final Provision
All issues not addressed in these statutes will be resolved in accordance and in conformity
with Articles 80 et seq. of the Swiss Civil Code.
Date:
__________________________
Eva Lystad, President
Date:
____________________________
Ralph Martens, Treasurer
Page 25
CARE International Governance
Approved June 2010
Page 26
Figure 1: CI Governance & Board Committee
arrangements
CI Board
FINANCE, AUDIT &
RISK COMMITTEE
Programme &
Operations
Committee
EXECUTIVE
COMMITTEE
Advocacy & Media
Comms Committee
CI
Secretariat
GOVERNANCE &
NOMINATIONS
COMMITTEE
Fundraising &
Branding Committee
H.R. SAFETY AND
SECURITY
Organisational
Development
Committee
These Committees
form time-bound
task forces formed
as needed
Page 27
The CARE International Board
The CARE International (CI) Board is comprised of an independent Chairperson (elected by
the CI Board) plus the national director and a board representative of each national CI
member. Ordinarily, the national board representatives are the chairpersons of their
respective national CI member. From within its own number, the CI Board elects two other
officers: a Vice-Chairperson and a Treasurer, both of whom serve on their respective
national CARE boards in a non-executive capacity. There is the possibility of having up to
five independent trustees. The CI Board normally meets twice a year, in June and
November.
The main roles and responsibilities of the CI Board, which are delineated in the terms of
reference in Annex A, are to provide a membership forum for the confederation, endorse and
amend the CI Statutes and CI Code, monitor the overall health of the confederation with
respect to the performance and standards of national CI members, approve CI policies,
approve CI budgets, and approve CI’s strategic plans. The officers of the Board monitor and
evaluate the performance of the CI Secretary General.
CI Board Standing Committees
Figure 2: CI Board Standing Committees
There are four committees of the Board (as described below). 1
CI Board
Finance, Audit & Risk
Committee
(8-9 Members)
Executive Committee
(currently 9 voting
members but varies
according to criteria)
Governance &
Nominations
Committee
(up to 6 Members)
CI
Secretariat
H.R. Safety and
Security Committee
(6-7 Members)
The Executive Committee (Excom)
1
The indicative numbers of committee members take into account new affiliate and prospective affiliate members
who have observer status on Board committees.
Page 28

The Excom acts on
implementation of CI
Secretariat, maintains
through a number of
initiatives undertaken
presented in Annex B.

The Excom is chaired by the CI Chairperson, and is composed as follows:
-
-
behalf of the CI Board between meetings, and ensures the
Board decisions. The Excom oversees the work of the CI
an overview of the performance of the CI membership, and,
sub-committees, oversees the implementation of joint strategic
by the CI membership. The Excom terms of reference are
National CI members with responsibility for managing 5 or more country offices
(defined as ‘Long-term Presence’ in the CI Code), and those that contribute
5% or more of CI’s total income (averaged over 3 years), are represented on
the Excom.
The Secretary General is a non-voting member of the Excom.
Other Excom members are appointed for single, non-renewable two year
terms by the CI Chairperson, ensuring the following criteria are met:
o
o
o
o
o
The Excom will contain two additional CI Board members who sit on a
CI national member board in a non-executive capacity.
The Excom will contain at least one CI Board member who represents
a Southern national CI member.
No national CI member will have more than one seat on the Excom.
All national CI members will have the opportunity to be represented on
the Excom over time.
The CI Treasurer will attend meetings of the Excom in a non-voting
capacity in order to ensure the necessary level of coordination
between the two committees. 2

While the choice of Excom representative remains with the concerned CI member, it is
expected that, apart from the two places to be filled by non-executive appointees, Excom
places will ordinarily be occupied by national directors.

The Excom generally meets in person at least three times annually.
The Finance, Audit and Risk Committee (FAR)

The FAR oversees the Secretariat’s budget, financial administration and audit functions,
monitors financial performance and risk within CI’s membership, and recommends to the
CI Board financial policies and standards, as appropriate. At the request of the CI
Chairperson, the FAR supports the work of the Excom. The committee’s draft terms of
reference are presented in Annex C.

The FAR is chaired by the CI Treasurer and is composed as follows:
-
In addition to the CI Treasurer, five CI Board members appointed by the CI
Chair.
-
One rotating CI member finance director (current Chair of the CI finance
directors meeting) 3
2
th
This G&N recommendation was approved by the Board on June 6 , 2009 in The Hague.
The G&N Committee recommendation to task the FAR to review its own composition and recommend any
adjustment to the Excom or Board, was approved by the Board on June 6th, 2009 in The Hague. At its November
2009 meeting in Canberra, the FAR agreed that one rotating CI member finance director (current Chair of the
finance directors meeting) should sit on the FAR.
3
Page 29

The CI Secretariat Finance & Administration Officer (non-voting).
The FAR meets at least twice annually in person.
The H.R. Safety and Security Committee (HRSSC)

The HRSSC maintains oversight of staff safety and security across CI. The committee’s
terms of reference are at Annex D.

An early task of the Committee, in consultation with the Board, will be to determine
whether its mandate should be expanded to include other appropriate areas of shared CI
interest within the broader human resources agenda.

The HRSSC is chaired by the CI Vice-Chairperson, and is composed of the following
additional members:
-

the CI Chairperson
four CI Board members appointed by the CI Chairperson.
the CI Secretary General (non-voting).
The HRSSC meets in person twice annually, with any additional meetings being by
teleconference.
The Governance & Nominations Committee (G&N)

The G&N is responsible for identifying and nominating candidates for officer positions
within the CI Board (Chairperson, Vice-Chairperson, and the Treasurer). The G&N in
addition oversees the performance of CI’s governance, recommending changes as
appropriate to the CI Board, and ensures the maintenance of the CI Statutes. The
committee’s terms of reference are at Annex E.

The G&N has up to six members canvassed from within the CI Board by the G&N itself,
according to expected future committee turnover. Candidates will be submitted for
approval to the CI Board. The G&N will select its own chairperson.

The G&N meets in person twice annually, with any additional meetings being by
teleconference.
Sub-Committees of the Executive Committee
The Executive Committee (Excom) maintains four sub-committees, which support
implementation of CI’s strategic directions and other initiatives undertaken jointly by the CI
membership. The committees are shown in the following chart:
Page 30
Figure 3: Executive Committee (Excom) subcommittees
Executive
Committee
Programme &
Operations
Committee
Advocacy & Media
Communications
Committee
Fundraising &
Branding
Committee
Organisational
Development
Committee
Each of the four sub-committees is able to form time-bound working groups or task forces in
order better to carry forward its work. They are composed of senior operational managers
from within the membership.
Programme & Operations Committee (POC)

The POC is tasked with overseeing and the implementation of CI’s emergency response
and shared technical capacity building strategies, and with ensuring consistent
programme quality and country office performance across the confederation.
The Advocacy & Media Communications Committee (AMC)

The AMC supports and promotes effective global advocacy across CI, and ensures a
high degree of coordination of media communications during public advocacy and
messaging. Specifically, the AMC supports the implementation of CI’s global advocacy
strengthening strategy, and the work of the CI Head – Global Advocacy in this, helping to
ensure required policies and processes are established and in use.
The Fundraising & Branding Committee (FB)

The FB is tasked with overseeing national CI member fundraising performance, and
recommending capacity building measures that help strengthen fundraising in CI. The
FB also recommends policy that supports the effective coordination of donor relations
and fundraising activity in CI, and monitors and promotes the implementation of the
CARE brand across the CI membership.
The Organisational Development Committee (ODC)

The ODC is responsible for overseeing and supporting the implementation of CI’s
organizational evolution and information/knowledge management strategies. In liaison
with other CI Board committees, the ODC also maintains and reports on an integrated set
of organizational performance indicators. Finally, the ODC recommends strategies that
support or otherwise strengthen CARE’s country office operating model.
Other Committees Reporting to Excom
Over time, other groups may be established which report to Excom.
Page 31
Figure 4: Proposed Calendar of Meetings
J
F
M
A
M
BOARD
A
S
O
N
P
P4
P/T
P
P
FAR
T5
P
P
HRSSC
T
P
P
G&N
T
P
P
T
T
AMC
FB
ODC
5
J
Excom
POC
4
J
P
P
P
P
D
P
P
P
P
In Person.
Teleconference.
Page 32
Annex A: Terms of Reference of the CI Board
1. Provide for membership representation and a forum for the confederation
2. Enhance and preserve CARE International’s good name and reputation
3. Determine CARE International’s mission and purposes
4. Endorse and amend CI’s Statutes
5. Approve the CARE International Strategic Plan
6. Monitor the overall health of CI and exercise effective oversight with respect to the
performance and standards of CARE International members
7. Approve policies for addition to the CI Code
8. Grant and terminate membership of CI
9. Impose sanctions on any Member found to be in breach of CARE International’s rules
and regulations
10. Appoint office-bearers, members of the CI Board Executive Committee and Public
Members
11. Fulfill the work of the Governance and Nominations Committee, the Finance, Audit and
Risk Committee, the Safety and Security Committee, and the Executive Performance
Committee.
12. Appoint and dismiss the Secretary General
13. Approve the CI Secretariat budget
14. Assess its own performance and take appropriate measures to improve it
Page 33
Annex B: Terms of Reference of the Executive Committee
(Excom)
1. Prepare all matters to be submitted to the CI Board and ensure all decisions of the CI
Board are implemented.
2. Take decisions and provide advice to the Secretary General in between meetings of the
CI Board, consulting appropriately with the membership
3. Ensure effective organizational planning, including implementation of the current strategic
plan
4. Oversee management of CARE International policies, finances and budget
5. Review, as needed, the projects or other activities undertaken by Members, and evaluate
them for consistency with CARE International’s vision, mission or policies
6. Ensure that CARE International abides by its values, stated charitable objectives and
Statutes, and operates in accord with its Code
7. Ensure maintenance of the CI Code and its upkeep
8.
Authorise CI Country Presence (entry and exit)
9. Receive and consider periodic reports from Members on their activities, and make
recommendations as appropriate to the CI Board
10. Provide ongoing support, feedback and guidance to the Secretary General in her/his
conduct of the management of the Secretariat and the business and affairs of CARE
International (although the SG reports to the full CI Board via the CI Chair)
11. Appoint sub-committees of the Executive Committee, as needed.
Page 34
Annex C: Terms of Reference of the Finance, Audit & Risk
Committee (FAR)
1. To recommend to the CI Board annual and long-term Secretariat financial plans and
budgets, and to monitor progress against them.
2. To monitor the financial operations of the Secretariat, including the review on a regular
basis of balance sheets, income and expense statements, statements of cash flow and
investment reports.
3. To recommend to the CI Board the annual appointment of external auditors.
4. To approve the scope of the annual external audit, thereafter overseeing the work and
outputs of the external auditors.
5. To maintain oversight of the Secretariat’s internal control system, including the
assessment and management of risk.
6. To oversee funds jointly owned by CI members that are managed by the Secretariat or
an individual CI member.
7. To recommend to the CI Board financial standards for CI membership and affiliation,
along with a means of monitoring compliance.
8. To recommend to the CI Board common financial policies that would serve to harmonise
CI member and country office processes and systems, reduce duplication, and otherwise
strengthen CI’s financial effectiveness.
9. To support the harmonization of CI members’ and country offices’ financial information
management and reporting systems.
10. Monitor and report on compliance with CI financial standards and other financial policies.
11. To recommend to the CI Board key financial performance indicators of CI member
financial health.
12. As appropriate, recommend benchmarks in relation to financial performance indicators.
13. To monitor and report performance against these indicators (and benchmarks) on a semiannual basis.
14. To alert the CI Board to any concerns relating to the financial status of any CI member,
and to recommend appropriate courses of action to be taken.
15. To lead CI’s response to any financial crisis that may arise within the confederation,
whether at the CI member or country office level.
Page 35
Annex D: Terms of Reference of the H.R. Safety and
Security Committee (HRSSC)
In May 2006, the CI Board approved the establishment of a CI Safety & Security Unit (the
CISSU). The CISSU is responsible for the development, coordination and monitoring of
CARE International’s policy and strategy for safety and security. In addition, the CISSU is
responsible for ensuring CI’s Secretary General and governance is able to oversee
effectively the implementation of staff safety and security across CI.
The CISSU forms a part of the CI Secretariat, and is accountable to the H.R. Safety &
Security Committee, through the Secretary General.
The primary task of the H.R. Safety & Security Committee is, therefore, to oversee the
activities of the CISSU and to monitor the implementation by the CI membership of agreed
safety and security policies and guidelines. During crises of a safety or security nature, the
committee stays advised of CARE’s response and, as needed, oversees the implementation
of the safety and security “appeals mechanism” (see decision of the Board, May 2006).
In addition to its safety and security related responsibilities, an early task of the Committee,
in consultation with the Board, will be to determine whether its mandate should be expanded
to include other appropriate areas of shared CI interest within the broader human resources
agenda.
Page 36
Annex E: Terms of Reference of the Governance and
Nominations Committee (G&N)
1)
INTRODUCTION
The Governance & Nominations Committee (the Committee), which is a standing
committee of the Board of the CARE International Foundation, has responsibility for
identifying and nominating Officers of the Board and Independent Trustees, and for
overseeing the functioning of the Foundation’s governance and constitution.
2)
COMMITTEE CHAIRPERSON
A. The Governance & Nominations Committee will select its own Chairperson, who shall
be an experienced member of the Board who serves on a national CARE Board in a nonexecutive capacity.
B. The term of office shall be three years.
C. As the Chair of the Nominations Committee, the member must remain independent and
detached from considerations of self-interest.
3)
COMPOSITION
A. Members of the Committee shall be appointed by the Board based on the
Committee’s own recommendations.
B. The Committee shall have no more than six members including its Chair, of whom at
least four should serve on a national CARE board in a non-executive capacity.
C. In the event that a member of the Committee is put forward as a nominee for office,
that member shall disengage from the Committee until the nomination process has
been completed.
D. Up to two Officers of the Board, but not the Chairperson, may serve on the
Committee.
E. Members of the Committee shall serve for a single, non-renewable three year term.
F. Committee member terms shall be staggered so that no more than two members are
elected in any year.
G. The Deputy Secretary General will provide secretariat support to the committee.
4)
SPECIFIC DUTIES
A. Review and propose terms of reference for the Board and Board Executive Committee.
B. Establish and maintain a bi-annual system of performance self-assessment for the Board
and Executive Committee.
Page 37
C. Identify and nominate Independent Trustees for election to the Board.
D. Develop a succession plan for Board Officer positions.
E. Based on the succession plan, identify and nominate candidates for Board Officer
positions in a way that ensures continuity and minimizes any disruption to the smooth
functioning of the Board.
F. Ensure proper orientation is provided to all new Board trustees.
G. Periodically review the performance of CARE International’s system of governance,
recommending changes to the Board, as appropriate.
H. Maintain oversight of CARE International’s statutes, ensuring that they both accurately
reflect CARE International’s system of governance, and meet the requirements of the
federal oversight authorities.
I.
Maintain oversight of the CARE International Code, ensuring that it is kept up to date and
meets the needs of the CARE International membership.
Page 38
CARE Vision and Mission
Page 39
Vision Statement
We seek a world of hope, tolerance and social justice, where poverty has been
overcome and people live in dignity and security.
CARE International will be a global force and partner of choice within a world-wide
movement dedicated to ending poverty. We will be known everywhere for our
unshakeable commitment to the dignity of people.
Mission Statement
CARE International’s mission is to serve individuals and families in the poorest communities in the
world. Drawing strength from our global diversity, resources and experience, we promote innovative
solutions and are advocates for global responsibility. We facilitate lasting change by:
•
•
•
•
•
Strengthening capacity for self-help
Providing economic opportunity
Delivering relief in emergencies
Influencing policy decisions at all levels
Addressing discrimination in all its forms
Guided by the aspirations of local communities, we pursue our mission with both excellence and
compassion because the people whom we serve deserve nothing less.
Page 40
CI Programming Principles
Page 41
CARE Programming Principles
In order to fulfill CARE’s vision and mission, all of CARE’s programming should conform with
the following Programming Principles. These Principles are characteristics that should inform
and guide, at a fundamental level, the way we work. They are not optional. These
Programming Principles are as follows 6:
Principle 1: Promote Empowerment
We stand in solidarity with poor and marginalized people, and support their efforts to take
control of their own lives and fulfil their rights, responsibilities and aspirations. We ensure that
key participants and organisations representing affected people are partners in the design,
implementation, monitoring and evaluation of our programmes.
Principle 2: Work with partners
We work with others to maximise the impact of our programs, building alliances and
partnerships with those who offer complementary approaches, are able to adopt effective
programming approaches on a larger scale, and/or who have responsibility to fulfil rights and
reduce poverty through policy change and enforcement.
Principle 3: Ensure Accountability and Promote Responsibility
We seek ways to be held accountable to poor and marginalized people whose rights are
denied. We identify individuals and institutions with an obligation toward poor and
marginalized people, and support and encourage their efforts to fulfil their responsibilities.
Principle 4: Address Discrimination
In our programs and offices we address discrimination and the denial of rights based on sex,
race, nationality, ethnicity, class, religion, age, physical ability, caste, opinion or sexual
orientation.
Principle 5: Promote the non-violent resolution of conflicts
We promote just and non-violent means for preventing and resolving conflicts at
all levels, noting that such conflicts contribute to poverty and the denial of rights.
Principle 6: Seek Sustainable Results
As we address underlying causes of poverty and rights denial, we develop and use
approaches that ensure our programmes result in lasting and fundamental improvements in
the lives of the poor and marginalized with whom we work.
We hold ourselves accountable for enacting behaviours consistent with these principles, and
ask others to help us do so, not only in our programming, but in all that we do.
6
Principles as approved by the CI Board, November 2003.
Page 42
Approved March 2007
Page 43
CARE International’s Humanitarian Mandate
This statement articulates CARE’s commitment to the humanitarian imperative in line with its
vision, mission, and program principles.
GOAL
1. Responding to humanitarian emergencies is an essential part of CARE’s work to fight
poverty and injustice and we recognize that emergencies are a cause and effect of both.
CARE helps people cope with crises through disaster risk reduction, emergency relief,
preparedness and post-crisis recovery.
OBJECTIVES
2. The primary objective of humanitarian response is to meet immediate needs of affected
populations in the poorest communities in the world. Recognizing that people have the
fundamental right to life with dignity, CARE also strives to address the underlying causes
of people’s vulnerability.
3. CARE is a major force in humanitarian response and has a responsibility as a leader in
the sector to demonstrate the highest standards of effectiveness and quality.
PRINCIPLES
4. CARE is a signatory of and holds itself accountable to accepted international
humanitarian principles, standards and codes of conduct, including the Red
Cross/Crescent & NGO code of conduct, the Sphere standards, and the HAP principles
and standards.
5. CARE adheres to the principle of impartiality so that we provide assistance on the basis
of need regardless of race, creed or nationality. CARE is committed to addressing the
rights of men, women, boys and girls in times of crisis. 7
6. CARE upholds the principle of working independently of political, commercial, military, or
religious objectives and promotes the protection of humanitarian space.
APPROACH
7. CARE believes that local capacity can provide the most effective response to
emergencies. However, by their very nature, emergencies often overwhelm local
capacities, and in such situations CARE will respond in an appropriate, timely and
effective way.
8. CARE will respond wherever we can add value by:
• Providing additional resources
• Enhancing the quality of response
• Committing to longer term solutions
• Building local capacities
7
Change proposed by ERWG May 2011.
Page 44
9. We have a range of response options:
• Providing direct relief
• Working with and through partners
• Advocating with national and international bodies
• Keeping the general public informed
10. CARE develops focused expertise both operationally and at the global policy level in
certain specific humanitarian areas.
11. In keeping with our programming principles, CARE develops both local and international
partnerships to strengthen local capacities and to add value through collaborative
approaches.
12. CARE brings a longer-term view to its humanitarian work, including supporting people be
less vulnerable to disasters in the first place. Where appropriate, our programs link
emergency relief, recovery, and long-term development, and include measures for
disaster preparedness and risk reduction.
Page 45
Section 3 – CI Codes of Conduct
Section 3 - CARE
International Codes of
Conduct
Section 5 – Country Presence
Code of Ethics
INTRODUCTION
CARE’s aim is to provide long-term developmental assistance to people and communities
striving for social well being, and to offer relief in times of crisis. Our purpose is to relieve
poverty and to achieve sustainable development, leaving lasting benefits to the communities
we serve. In times of humanitarian crisis, our objective is to relieve suffering, to save lives,
whenever it is within our power to do so.
As one of the world’s foremost private aid and relief organisations, CARE International has a
responsibility to achieve the highest standards of ethical practice. CARE is committed to
transparent, ethical and professional management of all its operations and resources.
Members abide by the confederation’s statutes, codes and ethics and are responsible for
conducting activities in accordance with accepted professional standards of accuracy, truth,
integrity and good faith.
At all times and in all circumstances, CARE Members are expected to perform their roles in
the best interests of the people and communities they are aiming to serve, respecting their
cultures and values, assisting them to help themselves, and avoiding the creation of
institutionalised dependence.
STATUTES
The CARE International Statutes require Members:
A. to act in accord with the statutory requirements of their respective countries;
B.
to work to help combat hunger, sickness and poverty; provide emergency
assistance; and contribute to sustainable ecological, social and economical
development in developing countries and other geographical areas of need;
C.
to ensure full independence from any political, religious or other considerations
not related to aid and relief;
D.
to exercise all due and proper responsibility in all financial matters, including
accuracy of fundraising literature, application of funds only in pursuance of the
organisation’s stated objectives, and the practising of complete and accurate,
public financial disclosure.
EXTERNAL RELATIONS
A.
In responding to needs, Members will give consideration to the human rights
record of recipient nations and structure their response accordingly.
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B.
Cooperation and assistance with organisations whose principles and practices are
compatible with the standards of CARE International is encouraged.
FINANCIAL RESPONSIBILITY
A.
Accounts must be audited in accordance with nationally recognised accounting
principles and practices.
B. Members fully acknowledge the necessity of timely, accurate and relevant
reports required under agreement with donor agencies.
FUNDRAISING AND ADMINISTRATIVE COSTS
A.
Fundraising and administrative costs will be consistent with respective
National codes.
B.
Members shall seek to maximise the proportion of donated funds used in
support of projects and programmes, and to ensure that all expenditure on
fundraising and administration is cost effective.
RESTRICTED DONOR FUNDS
Designated funds, raised by specific appeals for particular objectives, will be allocated and
spent in accordance with the stated purpose of the appeal and consistent with CARE
International policy on minimal charges. Any unavoidable adjustments, resulting from
changing circumstances, will be advised to the donors.
ADVERTISING
Members will employ responsible media and marketing techniques; promotion and
advertising must be truthful and accurate and meet applicable advertising standards within
their respective countries.
SCRUTINY
All aspects of CARE Members’ governance, the nature of cooperation among the
distinctive national CARE organisations, and the relationships and responsibilities within
the CARE International Confederation, will be open and accessible to scrutiny.
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Code of Conduct
Based on The International Red Cross and Red Crescent
Movement Code of Conduct
The CARE International Board of Directors agreed, at the May 12 1996 Board meeting
held in Paris, to adopt this Code of Conduct with the addition of the following
clarification:
“CARE International, in adopting the Red Cross Code of Conduct, makes note that the
language under provision No 5 we shall respect Culture and Custom, will be interpreted
and applied in conformity with Internationally recognised human rights, particularly in
regards to the rights of women”.
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The Code of Conduct
Principles of Conduct for the International Red Cross and Red Crescent Movement and
NGOs in Disaster Response Programmes
1: The humanitarian imperative comes first
The right to receive humanitarian assistance, and to offer it, is a fundamental humanitarian
principle which should be enjoyed by all citizens of all countries. As members of the
international community, we recognise our obligations to provide humanitarian assistance
wherever it is needed. Hence the need for unimpeded access to affected populations, which
is of fundamental importance in exercising that responsibility.
The prime motivation of our response to disaster is to alleviate human suffering amongst
those least able to withstand the stress caused by disaster.
When we give humanitarian aid it is not a partisan or political act and should not be viewed
as such.
2: Aid is given regardless of the race, creed or nationality of the
recipients and without adverse distinction of any kind. Aid
priorities are calculated on the basis of need alone
Wherever possible, we will base the provision of relief aid upon a thorough assessment of
the needs of the disaster victims and the local capacities already in place to meet those
needs.
Within the entirety of our programmes, we will reflect considerations of proportionality.
Human suffering must be alleviated whenever it is found; life is as precious in one part of a
country as another. Thus, our provision of aid will reflect the degree of suffering it seeks to
alleviate.
In implementing this approach, we recognise the crucial role played by women in disasterprone communities and will ensure that this role is supported, not diminished, by our aid
programmes.
The implementation of such a universal, impartial and independent policy can only be
effective if we and our partners have access to the necessary resources to provide for such
equitable relief, and have equal access to all disaster victims.
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3: Aid will not be used to further a particular political or religious
standpoint
Humanitarian aid will be given according to the need of individuals, families and
communities. Notwithstanding the right of NGHAs to espouse particular political or religious
opinions, we affirm that assistance will not be dependent on the adherence of the recipients
to those opinions. We will not tie the promise, delivery or distribution of assistance to the
embracing or acceptance of a particular political or religious creed.
4: We shall endeavour not to act as instruments of government
foreign policy
NGHAs are agencies which act independently from governments. We therefore formulate
our own policies and implementation strategies and do not seek to implement the policy of
any government, except in so far as it coincides with our own independent policy.
We will never knowingly - or through negligence - allow ourselves, or our employees, to be
used to gather information of a political, military or economically sensitive nature for
governments or other bodies that may serve purposes other than those which are strictly
humanitarian, nor will we act as instruments of foreign policy of donor governments.
We will use the assistance we receive to respond to needs and this assistance should not be
driven by the need to dispose of donor commodity surpluses, nor by the political interest of
any particular donor.
We value and promote the voluntary giving of labour and finances by concerned individuals
to support our work and recognise the independence of action promoted by such voluntary
motivation. In order to protect our independence we will seek to avoid dependence upon a
single funding source.
5: We shall respect culture and custom
We will endeavour to respect the culture, structures and customs of the communities and
countries we are working in.
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6: We shall attempt to build disaster response on local capacities
All people and communities - even in disaster - possess capacities as well as vulnerabilities.
Where possible, we will strengthen these capacities by employing local staff, purchasing
local materials and trading with local companies. Where possible, we will work through local
NGHAs as partners in planning and implementation and cooperate with local government
structures where appropriate.
We will place a high priority on the proper coordination of our emergency responses. This is
best done within the countries concerned by those most directly involved in the relief
operations, and should include representatives of the relevant UN bodies.
7: Ways shall be found to involve programme beneficiaries in the
management of relief aid
Disaster response assistance should never be imposed upon the beneficiaries. Effective
relief and lasting rehabilitation can best be achieved where the intended beneficiaries are
involved in the design, management and implementation of the assistance programme. We
will strive to achieve full community participation in our relief and rehabilitation programmes.
8: Relief aid must strive to reduce future vulnerabilities to
disaster as well as meeting basic needs
All relief actions affect the prospects for long-term development, either in a positive or a
negative fashion. Recognising this, we will strive to implement relief programmes which
actively reduce the beneficiaries’ vulnerability to future disasters and help create sustainable
lifestyles. We will pay particular attention to environmental concerns in the design and
management of relief programmes. We will also endeavour to minimise the negative impact
of humanitarian assistance, seeing to avoid long-term beneficiary dependence upon external
aid.
9: We hold ourselves accountable to both those we seek to assist
and those from whom we accept resources
We often act as an institutional link in the partnership between those who wish to assist and
those who need assistance during disasters. We therefore hold ourselves accountable to
both constituencies.
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All our dealings with donors and beneficiaries shall reflect an attitude of openness and
transparency.
We recognise the need to report on our activities, from both a financial perspective and the
perspective of effectiveness.
We recognise the obligation to ensure appropriate monitoring of aid distributions and to carry
out regular assessments of the impact of disaster assistance.
We will also seek to report, in an open fashion, upon the impact of our work, and the factors
limiting or enhancing that impact.
Our programmes will be based upon high standards of professionalism and expertise in
order to minimise the wasting of valuable resources.
10: In our information, publicity and advertising activities, we
shall recognise disaster victims as dignified human beings, not
objects of pity
Respect for the disaster victim as an equal partner in action should never be lost. In our
public information we shall portray an objective image of the disaster situation where the
capacities and aspirations of disaster victims are highlighted, and not just their vulnerabilities
and fears.
While we will cooperate with the media in order to enhance public response, we will not allow
external or internal demands for publicity to take precedence over the principle of maximising
overall relief assistance.
We will avoid competing with other disaster response agencies for media coverage in
situations where such coverage may be to the detriment of the service provided to the
beneficiaries or to the security of our staff or the beneficiaries.
The Working Environment
Having agreed unilaterally to strive to abide by the Code laid out above, we present below
some indicative guidelines which describe the working environment we would like to see
created by donor governments, host governments and the intergovernmental organisations principally the agencies of the United Nations - in order to facilitate the effective participation
of NGHAs in disaster response.
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These guidelines are presented for guidance. They are not legally binding, nor do we expect
governments and IGOs to indicate their acceptance of the guidelines through the signature of
any document, although this may be a goal to work towards in the future. They are
presented in a spirit of openness and cooperation so that our partners will become aware of
the ideal relationship we would seek with them.
Annex A: Recommendations to the Government of
Disaster-Affected Countries
1.
Governments should recognise and respect the independent, humanitarian and
impartial actions of NGHAs
NGHAs are independent bodies. This independence and impartiality should be respected by
host governments.
2.
Host governments should facilitate rapid access to disaster victims for NGHAs
If NGHAs are to act in full compliance with their humanitarian principles, they should be
granted rapid and impartial access to disaster victims, for the purpose of delivering
humanitarian assistance. It is the duty of the host government, as part of the exercising of
sovereign responsibility, not to block such assistance, and to accept the impartial and
apolitical action of NGHAs.
Host governments should facilitate the rapid entry of relief staff, particularly by waiving
requirements for transit, entry and exit visas, or arranging for these to be rapidly granted.
Governments should grand over-flight permission and landing rights for aircraft transporting
international relief supplies and personnel, for the duration of the emergency relief phase.
3.
Governments should facilitate the timely flow of relief goods and information
during disasters
Relief supplies and equipment are brought into a country solely for the purpose of alleviating
human suffering, not for commercial benefit or gain. Such supplies should normally be
allowed free and unrestricted passage and should not be subject to requirements for
consular certificates of origin or invoices, import and/or export licences or other restrictions,
or to import taxes, landing fees or port charges.
The temporary importation of necessary relief equipment, including vehicles, light aircraft and
telecommunications equipment should be facilitated by the receiving host government
through the temporary waiving of licensing or registration requirements.
Equally, governments should not restrict the re-exportation of relief equipment at the end of a
relief operation.
Page 54
To facilitate disaster communications, host governments are encouraged to designate certain
radio frequencies, which relief organisations may use in-country and for international
communications for the purpose of disaster communications, and to make such frequencies
known to the disaster response community prior to the disaster. They should authorise relief
personnel to utilise all means of communication required for their relief operations.
4.
Governments should seek to provide to coordinated disaster information and
planning service
The overall planning and coordination of relief efforts is ultimately the responsibility of the
host government. Planning and coordination can be greatly enhanced if NGHAs are
provided with in formation on relief needs and government systems for planning and
implementing relief efforts as well as information on potential security risks they may
encounter. Governments are urged to provide such information to NGHAs.
The facilitate effective coordination and the efficient utilisation of relief efforts, host
governments are urged to designate prior to disaster, a single point of contact for incoming
NGHAs to liaise with the national authorities.
5.
Disaster relief in the event of armed conflict
In the event of armed conflict, relief actions are governed by the relevant provisions of
international humanitarian law.
Annex B: Recommendations to the Donor Government
1.
Donor governments should recognise and
humanitarian and impartial actions of NGHAs
respect
the
independent,
NGHAs are independent bodies whose independence and impartiality should be respected
by donor governments. Donor governments should not use NGHAs to further any political or
ideological aim.
2.
Donor governments should provide funding with a guarantee of operational
independence
NGHAs accept funding and material assistance from donor governments in the same spirit
as they render it to disaster victims: a spirit of humanity and independence of action. The
implementation of relief actions is ultimately the responsibility of the NGHA and will be
carried out according to the policies of that NGHA.
3.
Donor governments should use their good offices to assist NGHAs in obtaining
access to disaster victims
Page 55
Donor governments should recognise the importance of accepting a degree of responsibility
for the security and freedom of access of NGHA staff to disaster sites. They should be
prepared to exercise diplomacy with host governments on such issues if necessary.
Annex C: Recommendations to the Intergovernmental
Organisations
1.
IGOs should recognise NGHAs, local and foreign, as valuable partners
NGHAs are willing to work with UN and other intergovernmental agencies to effect better
disaster response. They do so in a spirit of partnership which respects the integrity and
independence of all partners. Intergovernmental agencies must respect the independence
and impartiality of the NGHAs. NGHAs should be consulted by UN agencies in the
preparation of relief plans.
2.
IGOs should assist host governments in providing an overall coordinating
framework for international and local disaster relief
NGHAs do not usually have the mandate to provide the overall coordinating framework for
disasters which require an international response. This responsibility falls to the host
government and the relevant United Nations authorities. They are urged to provide this
service in a timely and effective manner to serve the affected State and the national and
international disaster response community. In any case, NGHAs should make every effort to
ensure the effective coordination of their own services.
3.
IGOs should extend security protection provided for UN agencies to NGHAs
Where security services are provided for intergovernmental organisations, this service should
be extended to their operational NGHA partners on request.
4.
IGOs should provide NGHAs with the same access to relevant information as is
granted to UN agencies
IGOs are urged to share all information pertinent to the implementation of effective disaster
response with their operational NGHA partners.
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Section 4 – New CI Membership
Section 4 - New CI
Membership
New Membership in CARE International Criteria and
Procedures
1.
The Board will decide on approaches to new potential Members.
2.
Processes will be as follows:
a)
Analysis and Pre-screening
The preliminary identification and assessment of potential Members (carried out as part
of a long-term strategic approach, as approved by the Board);
b)
Formal Assessment
Conducted by the CI Secretariat and, in latter stages, with involvement of other CARE
Members (ie: minimum of two CAREs to join the Secretariat in final assessment).
3.
The CI Assessment Team will report to the National Directors’ Committee, and
recommendations will then go forward to the Board and the General Assembly.
(Members of the Assessment Team will meet their own costs).
Criteria
4.
While ensuring that the new CI Members fully comply with CI’s standards and
requirements, the criteria should be applied with sensitivity and with an eye to different
styles and cultures in different parts of the world.
5.
Criteria guidelines herewith:-
a)
b)
c)
d)
e)
Capacity to meet the Membership requirements specified in the CI Statutes
(Article 11);
Ability and willingness to meet the seven obligations of Membership in the CI
Statutes (Article 12);
Commitment to financial self-sufficiency, and willingness to contribute to the
funding of CARE International;
Potential for public support within the proposed Member’s country (individuals,
corporations, private foundations); this analysis also to cover “competition” from
national and international organisations already raising funds for similar purposes
in the country;
Potential for access to government funding:
•
identification of all possible sources/mechanisms by which the respective
government channels its foreign assistance;
Page 58
f)
•
historical and projected levels of such assistance, and portion programmed
through NGOs;
•
likelihood of a national CARE Member qualifying to receive such assistance
and time-frame for qualifications;
•
legal, financial and other requirements;
•
whether local laws and regulations would permit government programming
through CARE International’s systems and structures;
Appropriateness of proposed Board and management structures:-
•
stature and calibre of proposed Board members, and their commitment to
the formation and running of a National CARE Member organisation;
•
structures consistent with the apolitical and non-sectarian character of
CARE;
•
independence (ie: not dominated by any single interest group and not
subject to outside manipulation);
g)
Compatibility of the proposed Member’s plans and objectives (new Member to
“buy in” to CARE International vision, programme philosophy and principles, and
policies, rules and standards; and willingness to abide by the CI Code);
h)
Protection of the CARE name and trademark (agreement to protect the CARE
name, trademark and reputation; and to cede the CARE name should the
Member withdraw or be expelled from CI).
Appendix 1:
Application for Membership in CARE International
CARE
in
, an association organised under the laws of
, with its head office
,
, hereby applies for membership in CARE International.
CARE
, has been formed for the purpose of undertaking or assisting in programmes of
relief, development, and health and medical assistance and has the necessary powers to
raise funds therefor.
CARE
, has been licensed to use in its operations the trademark “CARE” and other
related trademarks and service marks pursuant to an agreement with its registered owner,
the Cooperative for Assistance and Relief Everywhere.
Page 59
CARE
, hereby represents that, so long as it is a member of CARE International, it will
not undertake, operate, contribute to, fund, or participate in any programmes or projects
other than programmes or projects sponsored and operated by, or authorised or approved
by, CARE International. In furnishing this representation CARE
understands that, in
appropriate cases, the Board of Directors of CARE International may, by majority vote, waive
this representation. CARE
further understands that, should it become necessary to
withdraw from membership the one-year advance written notice under CARE International’s
Statutes will not be interpreted as requiring CARE
to continue to operate exclusively
throughout the notice period; rather CARE
’s commitment to operate exclusively
through CARE International will terminate upon the date such notice of withdrawal is given.
Submitted by:CARE
by:
date:
Accepted by CARE International
by:
date:
Appendix 2:
Trade and Service Marks License Agreement
This LICENSE AGREEMENT is made this
day of
19
, by and between
the COOPERATIVE FOR ASSISTANCE AND RELIEF EVERYWHERE, INC, a cooperative
incorporated under the laws of the District of Columbia in the United States of America
(hereafter referred to as “CARE USA”, and CARE
, a non-profit association organised
under the laws of
.
WHEREAS, CARE USA has adopted, is using, and is the registered owner of the following
marks registered in the United States of America:
a)
b)
c)
d)
e)
Trademark No 507,242 (“C.A.R.E”)
Trademark No 507,243 (stencilled “CARE”)
Service Mark No 1,006,518 (“CARE”)
Service Mark No 1,006, 519 (stencilled “CARE”)
Service Mark No 1,014,886 (“C.A.R.E.)
Page 60
and similar marks registered throughout the world all of which mark whether registered in the
United States or elsewhere, are hereafter referred to as “CARE USA’s trade and service
marks”); and
WHEREAS, CARE USA anticipates that many of its relief and development operations
outside the United States will be conducted in the future in cooperation with CARE
and
WHEREAS, CARE
desires to use the name “CARE” in its corporate name and to
employ CARE USA’s trade and service marks in connection with its operations;
NOW, THEREFORE, in consideration of the mutual covenants and promises contained
herein, the parties, intending to be legally bound hereby, agree as follows:
1.
CARE
shall be entitled to use the name “CARE” in its corporate name and
entitled to employ CARE USA’s trade and service marks in connection with its
operations, subject to the following conditions and limitations:
i)
This license is only valid as long as CARE USA is a member of CARE
International;
ii)
If CARE USA provides to the Board of Directors of CARE International
advance
written notice that CARE USA intends to withdraw from membership in CARE
International, then CARE
will promptly take appropriate legal steps to
remove the word “CARE” from its corporate name and will cease using
CARE USA’s trade and service marks in any way after the day upon which the
withdrawal becomes effective.
2.
CARE
agrees that it does not hereby acquire any right, title or interest in CARE
USA’s trade and service marks other than the right to use those marks within the
terms of this License Agreement and that any and all uses of these marks shall inure
to the benefit of CARE USA. This license shall not be assignable or transferable in
any manner whatsoever nor shall CARE
have the right to grant any sublicensees, except by the written consent of CARE USA.
3.
CARE
agrees that CARE USA shall retain an absolute right of control over all
uses of CARE USA’s trade and service marks and that CARE
shall not employ
those marks, or marks confusingly similar to those marks, for any uses to which
CARE USA objects.
4.
CARE
agrees to notify CARE USA of any adverse uses of marks confusingly
similar to CARE USA’s trade and service marks and agrees to take no action of any
king with respect thereto except by the express written authorisation of CARE USA.
5.
CARE
agrees not to raise or cause to be raised any questions concerning or
objections to the validity of any of CARE USA’s trade and service marks or to any
rights or claims of CARE USA with respect to those marks, on any grounds
whatsoever.
6.
In the event that CARE
violates this Agreement in any way, CARE USA may
cancel the license granted herein by giving notice in writing to CARE
of the
violation. In the event that CARE
does not correct or eliminate the violation
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with (30) thirty days from the date of receipt of said notice, the licenses shall
terminate at the end of that thirty-day period.
7.
In the event of cancellation or termination of this license, CARE
obligations
and agreements set forth in paragraphs 1 (ii), 2, 3, and 5 above shall remain in full
force and effect.
8.
Each party to this agreement represents and warrants that it has the full right, power,
and authority to execute and deliver this Agreement, and that no approval or
authorisation by any other person is required for this Agreement to be binding on
such party.
9.
this agreement may be executed in one or more counterparts, each of which shall be
deemed an original, and all of which, together, shall constitute one and the same
instrument.
IN WITNESS WHEREOF, the parties have executed this Agreement on the date stated at
the outset.
COOPERATIVE FOR ASSISTANCE AND RELIEF EVERYWHERE, INC.
By:
CARE:
By:
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Affiliate Membership
Approved CI Board June 5, 2010
Page 63
Affiliate Membership
Affiliate Membership, is considered as a transitional step towards full membership of CI.
Members seeking Affiliate Membership status would need to make the case to the CI Board
that they are on-track to meet the criteria within a set period of time (see below section on
“Applying for Affiliate Membership”).
Affiliate Membership is distinguished from full membership through a conditioning of their
membership rights and responsibilities. Specifically, an Affiliate Member:

may participate in CI Board meetings as a full CI Member, except that it will have no
voting right;

may describe itself as an Affiliate Member to CI;

is exempt from CI fees and other dues;

is allowed to access directly institutional funding, but only following consultation with
the CI Member responsible for managing CARE’s global relationship with the donor in
question. Any financial benefit accruing to the CI Member should be linked to the
value-add it brings;

will be permitted to work with CI Members to tap into the fundraising potential of
diasporas in CI Member countries;

will be supported by other CI Members with knowledge and other expertise to
become full members;

will be provided with investment and technical support from other CI Members;

will be mentored in its membership rights and responsibilities by the CI Member that
sponsored its application for membership (see below). Particular attention will be paid
to the Affiliate Member’s fundraising, advocacy and emergency response activities, all
of which have the potential to impact directly on the interests of other CI Members.
In all other respects, the rights and responsibilities of Affiliate Membership are identical to
those of a full CI Member, as contained in the CI Statutes, elsewhere in the CI Code and
other policies and guidelines agreed by the CI Board.
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Applying for Affiliate Membership
Organizations seeking to become Affiliate Members of CI are required to undertake a formal
process. The process consists of the following steps:
1. A formal request from the applicant to become an Affiliate Member of CI will be submitted
to the CI Board Executive Committee (Excom) in the form of a concept note. The
application should be channeled through the Secretariat and must be sponsored by an
existing CI Member (the Sponsor). The concept note would include a statement of an
intention to register locally (as well as a request for provisional use of the CARE brand)
and to begin establishing a core governance structure.
2. With Excom approval of the concept note, CARE USA will provide provisional authority to
use the brand and the applicant will begin establishing the local entity. It will also begin
developing a business case and governance plan detailing the applicant’s commitment to
meet full CI membership criteria within 3-5 years, which will be submitted to the CI Board.
3. An assessment mission composed of the Secretariat, the Sponsor, and one other CI
stakeholder will be conducted to assess the applicant’s business case and governance
plan, financial investment required, and other implications for CI of the applicant
becoming an Affiliate Member. The assessment mission will make its recommendation to
the Excom.
4. The Excom will review the assessment mission’s recommendation and reach a decision
on the application. In making this decision the Excom will commit CI to making available
any financial investment considered by the assessment mission to be required by the
applicant during its period of Affiliate Membership. The Excom’s decision will require
ratification by the full CI Board.
5. With a positive decision from the CI Board, the applicant will sign a temporary (3 to 5
years) CARE trademark license agreement.
6. During the period of affiliate membership the affiliate member will continue to evolve its
governance structure and implement its business plan more generally. Once it has
achieved the capacity to satisfy CI’s membership criteria, it will submit a request for full CI
membership to the CI Board. An assessment will be conducted by the Secretariat, the
Sponsor, and one other CI stakeholder with respect to the applicant’s business case for
full membership and make recommendations to the CI Board.
Page 65
Section 5 - Country
Presence
Approved June 1994
Page 66
Policy
This paper states CARE International’s policy for country presence and provides guidelines
for
implementation.
A.
OBJECTIVES OF THE POLICY
The objectives of this policy are the following:
B.
1.
To encourage joint action by CARE Members wherever possible;
2.
To set and uphold high standards for Lead Member performance in those
countries in which CARE’s Members have a long-term interest;
3.
To provide flexibility to Members wishing to undertake limited interventions,
without assuming Lead Membership responsibilities, in those countries in
which there is not broad, long-term interest among CARE’s Membership;
4.
To minimise the development of “spheres of influence” or semi-exclusive
territories by individual Members through granting Lead Membership only in
countries where there is broad, long-term interest and by requiring Lead
Members to provide the full range of services, and facilitate the participation
of, other Members; and
5.
To establish regular, automatic reviews of CARE’s presence in every
country and to give every Member the right to request that such reviews be
undertaken.
QUALITY STANDARDS
Whatever form CARE’s presence takes, it is imperative that CARE seeks to achieve
the highest quality standards. Among these are:
1.
Quality programming - Whatever sort of programmes we implement and
whatever management structures are adopted, CARE should strive to meet
the highest possible standards of programme and management quality;
2.
Innovation - CARE should not be locked into one way of doing business but
should systematically test new approaches and different models in an
attempt to constantly improve our work;
3.
Local Capacity Building - Whatever the nature of CARE’s presence in a
country, one of our primary goals should be the development of local
capacity at all levels;
4.
Cost effectiveness - We must continually look for ways to cut costs and
work more efficiently at all levels.
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C.
TYPES OF CARE COUNTRY PRESENCE
CARE’s presence in any host country can be categorised into any one of three basic
types:
A) Long-term presence; B) Limited presence; and C) Temporary presence. These
categories are described below:
1.
Long-Term Presence
In those countries where CARE International determines that it has clear, longterm interests and wishes to sustain long-term presence, it will designate a Lead
Member. It is the responsibility of the Lead Member to ensure the level of
integration and continuity required to have a positive impact on long-term
development in the host country. A basic country agreement is negotiated with
the host government. Such a CARE presence would normally be established
following an expression of interest by more than one CI Member and a formal
probe/assessment. Even under this “standard” CARE Country Presence model,
high priority should be accorded to local capacity building.
In some cases, but with the approval of CI, the Lead Member may propose not to
establish a full Country Office in the host country. The Lead Member would be
responsible however, for establishing alternative mechanisms for programme
management, oversight and financial control. This might be accomplished by
assigning these functions to another mission or other office in the region. The
Lead Member is still responsible for providing the full range of Lead Member
services to other CARE Members wishing to work in that country, and other
Members may not engage in parallel programming outside of the programmatic
and management framework established by the Lead Member, except when
these initiatives are pursued with the agreement of the Lead Member under the
terms outlined in the Lead Member document.
2.
Limited Presence
The concept of “limited presence” is used to convey one of the following: 1)
There is particular interest in a country on the part of only one Member and its
major donors; and 2) There is uncertainty as to whether there is broad enough
interest in CI to support a long-term presence in the country. In such cases, no
Lead Member is designated by the Board of CARE International. Requests for
“limited presence” must be submitted to the CI Board for prior review and
approval. There are two different limited presence scenarios, depending on the
number of Members involved:
a)
Limited Presence/Single Member
In this case, only one CARE Member expresses interest in working in a
particular country. Such a case is different from the “long-term presence”
scenarios in that a single Member limited presence initiative will not
necessarily have been preceded by a formal CI probe/assessment. The
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Member in question may adopt any one of several approaches to managing
its efforts in the host country, including hiring resident international and/or
national staff working through local NGO or government counterparts.
Oversight or supervision of such efforts may be provided directly from the
Member’s HQ or by another Country Office in the region. Under this model,
the Member is not Lead Member for CI and is not required to provide
services and support to other Members.
b)
Limited Presence/Multiple Member Model
This is similar to scenario one, except that more than one CARE Member is
involved. If more than one Member expresses limited interest in a country
a decision might be taken by CI that: 1) Conditions are not conductive at
the time for a long-term CARE presence; and/or 2) No CI Member is willing
or able to fulfil all the functions of Lead Member.
In other cases, CARE’s presence in a country might start out as a single
Member limited presence, and broader CI interest might develop
subsequently. In the event that one or more additional Members develop
an interest in a country where one Member already has an approved
“limited presence”, the CI Board has the option of either converting CARE’s
presence to a long-term one with a Lead Member or permitting a multiple
Member limited presence. When a multiple Member presence evolves in a
country on a limited presence basis, CI will designate one Member as
coordinator for all CARE’s work in that country. All CI Members with limited
presence in a country would be required to attend regular coordination
meetings covering programme, representation, funding, national staff
employment and personnel policies, and other issues of common concern.
Beyond basic coordination, Members also may choose to work more
closely, share facilities and/or common services, undertake joint planning or
programme activities etc.
The Coordinator will be made aware of all activities and initiatives being
undertaken by Members in the country in question and will disseminate this
information to all Members. The Coordinator will be expected to facilitate
the work of all Members through this information sharing function.
The Coordinator will not be expected to provide full scale mission facilities
or directives. The Coordinator role will be reviewed annually by the Lead
Member Consultative Group. If there are problems which non-Lead
Members feel are not being addressed they can bring them up in the
National Directors’ meeting. The CI Board should closely monitor and set
limits on all such situations. All multiple limited presence situations should
be reviewed annually by CI.
3.
Temporary Presence
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“Temporary presence” refers exclusively to emergency response situations where
there is no approved long-term presence and no established CARE Country
Office. Such temporary presence could take place in countries where CARE has
no presence whatsoever or in countries where one or more Members has a
“limited presence” but there is no CI Lead Member. Such presences should
normally be covered by an agreement with the Government which authorises
CARE to undertake emergency operations.
Emergency situations in countries in which CARE has an approved long-term
presence and a Lead Member has been appointed will be covered by the
provisions of the Long-Term Presence/Lead Member model. By definition,
“temporary presence” is time-bound. All temporary presence should be reviewed
on an annual or semi-annual basis by the CI Board and a decision taken to
extend the presence, terminate it, or consider another form of CARE
presence(long-term or limited).
In cases where there is a single Member involved in a temporary presence
situation any other Member is free to request permission to initiate a temporary
presence of its own. (No Member involved in a temporary presence is authorised
to approach the major bilateral donors of another Member without prior
permission). In all cases of multiple temporary presence, all concerned Members
would be required to attend regular coordination meetings covering programme,
representation, funding, national staff employment and personnel policies, and
other issues of common concern. As in the case of limited presence, Members
also have the option of working together more closely, sharing facilities and/or
common services, undertaking joint assessment or emergency response actions,
etc. In addition, CI will designate one Member as Coordinator for CARE’s work in
that country.
D.
IMPLEMENTATION
The implementation of this policy entails the following four stages:
1.
Automatic Review Process
All forms of CARE country presence will be subject to regular review processes. In
the case of temporary presence, such reviews should take place at least annually,
and in the case of limited presence, at least every two years. In long-term presence
situations, reviews should take place at least once every five years. Criteria and
processes for such reviews should be established by CI. Such reviews might result
in the extension or termination of a presence, or in the conversion of a presence
from one category to another.
2.
Member Request for Changes in Classification
Any Member may request that CI review the status or classification of CARE’s
presence in a particular country. For example, a Member may ask that a
temporary or partial presence situation be considered for a long-term presence
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and ask that CI undertake a probe/assessment. All such requests will be made
to the Secretariat, with appropriate justification for the proposed change, and the
Secretariat will forward them to the CI Board for action.
3.
New Country Presence Situations
Any new country entry situations will be appropriately classified at the time that
they are submitted to the CI Board for review. The Board may take any of the
following actions on such requests: a) approve the classification as requested or
proposed by the interested Member(s); b) defer a decision and request additional
information from the Member(s)making the request; c) approve the country entry
but revise the classification; d) disapprove the country entry request.
4.
Complaints and Grievances
Complaints and grievances should, if possible, be resolved directly with the other
concerned party or parties. In the event that the matter cannot be resolved in
this way, the Member may refer it to the appropriate CI body, in accordance with
the procedures described in the Code document Conflict Resolution.
Criteria
Ultimately, the Board of CARE International has responsibility for determining country
entry and exit. The following are criteria for use by the Board in making its decisions,
and by prospective Lead Members in making their recommendations to the Board, as
well as procedures for all involved CARE parties.
Obviously it is not intended that the criteria be applied in a mechanical way or
reduced to mathematical formulae. They are meant to serve as guidelines that can
be used with a degree of objectivity. In the last instance, however, the decision to
enter or continue CARE’s presence in a country is a question of judgement
concerning the best use of CARE resources with regard to CARE’s organisational
purpose and programme objectives.
A.
COUNTRY ENTRY
The criteria for country entry are pertinent also to decisions concerning continued
presence in a country. Since, however, decisions with regard to continued presence
can also draw on CARE’s direct experience in any particular instance, the question of
continued presence or country exit is dealt with separately.
1.
Need
Need is determined on the basis of a set of generally accepted indicators which
provide information on the existing stage of development in a particular country.
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Such assessments are based on aggregate figures which provide indication of
economic and social status of the country as a whole.
The danger in these assessments is that in dealing with the aggregate they may
fail to reflect basic needs of a substantial portion of the population. Therefore, an
assessment that truly reveals the actual conditions under which the poorest
segments of the population live and their number requires complementing
disaggregated information.
The factors listed below have been chosen in part because of the availability of
data and their common usage to permit comparison. Some are more indicative
and reliable than others. In total, however, they provide a balanced and reliable
assessment of need.
a)
b)
c)
d)
e)
f)
g)
h)
i)
j)
k)
l)
m)
n)
o)
p)
q)
r)
2.
per capital GNP
infant mortality per 1,000 lives births
child death rate (aged 1-4)
crude birth rate per 1,000 population
crude death rate per 1,000 population
life expectancy at birth
physical quality of life index
food balance sheet
nutrition status of vulnerable groups
percentage of population with access to safe water
population growth
literacy rate
number enrolled in primary school as percentage of age group
number enrolled in secondary school as percentage of age group
unemployment rate
trade balance
rate of inflation
strength of currency in world market
Programme and Operational Considerations
The following criteria represent an assessment of the programme and operational
environments in the host country and CARE’s ability to function in that
environment in accordance with its programme objectives and criteria and its
operational
methods
and
procedures.
a)
A positive government attitude toward foreign assistance agencies
working in the country, and particularly towards an active NGO
participation in national development.
b)
Readiness of the government to sign a basis agreement that
establishes acceptable terms and conditions under which CARE will
operate
in
the
country.
c)
The existence of government or private counterparts which are willing
and able to participate in and support collaborative efforts with CARE.
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3.
d)
An understanding and acceptance by prospective counterparts of
CARE’s partnership approach to development assistance.
e)
A willingness by government and / or private entities to support and
sustain CARE assistance programmes by way of policy, resource and
infrastructure.
f)
Sufficient political and military stability to allow CARE staff to operate
effectively and undertake sustained development activities.
g)
Freedom of movement throughout the country necessary for
programme development, implementation and evaluation and access
to information necessary for CARE to account to its donors for the
proper use of resources.
h)
Reasonable programme and support costs either in absolute or
relative terms with other country programmes; acceptable cost-benefit
ratios.
Resource Availability
The decision to enter into or continue CARE’s presence in a country must take
into consideration the resources available to the organisation in order to
undertake and sustain a development effort of a magnitude that would justify
such a decision. Resource availability must be seen both in terms of existing
resources and the potential for resource generation as a result of our presence in
the country. Resource availability includes financial, material and human
resources. The following criteria aim to assess the question of resource
availability:
B.
a)
The potential for developing a programme which would be of
sufficient interest to the general public and institutional donors so that
a programme base can be established and maintained.
b)
The availability of significant financial, material or personnel inputs
from host country sources.
c)
Potential funding from international entities, donor governments or
other third party sources.
d)
The availability of trained and sustainable international personnel to
staff the operation appropriately.
CONTINUED PRESENCE
Any operation in a country, including CARE’s is often self-perpetuating, and can be
continued to a point where the resources committed can no longer be fully justified.
Therefore, the criteria used in considering CARE’s entry into a country should also be
applied when CARE’s continued presence in a country is considered. The question
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should be asked: If we were not here could we justify our presence and commitment
on the basis of those standards?
In addition to the above mentioned criteria, CARE has the advantage of direct
experience in the country, which should be taken fully into account through an
additional set of considerations:
C.
a)
A determination as to whether or not CARE programming in the
country is and has been of such a quality and impact to justify its
continuation.
b)
The potential for new programme development of important scope
and
impact.
c)
A viable financial programme base to support continuation. (Over 70
percent total budget support by unrestricted funding for three
consecutive years would be grounds to consider programme
termination).
d)
The establishment of mechanisms (eg, arrangements with Indigenous
NGOs) to continue advances made by CARE’s programme in the
absence of CARE.
e)
A positive programme momentum toward clearly defined and lasting
results.
f)
Positive host country and counterpart relationships and support.
TEMPORARY SUSPENSION OF ACTIVITIES
CARE may be compelled from time to time to suspend operations in a country as a
result of force majeure (usually civil strife) or other circumstances or programme
considerations. The decision to suspend operations is made by the Lead Member
based on the assessment of the country situation and the recommendation of the
Country Director. Immediate information about this decision will be sent to all CI
Members through the CI Secretariat.
The suspension of operations should be effected in accordance with the guidelines
provided for country phase-out. To the extent feasible, the Country Director should
give notification of suspension to government, local contractors and staff. The Country
Director should designate a senior staff person to serve as the conduit for
communications to and from the country.
The Country Director should attempt to settle all pending financial obligations before
exiting. Financial information stored on diskette, cheque book stubs and books should
be brought out of the country when the suspension is effected. All undelivered
inventory should be turned over to responsible third parties. The Country Director
should determine the practicality of evacuating equipment. Remaining office inventory
vehicles should be entrusted to the designated senior staff person for safeguarding.
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The decision to resume operations in a country is also made by the Lead Member,
based on its assessment that country conditions justify resumption of operations.
D.
COUNTRY PROGRAMME CLOSING
The final decision to close a country programme, as well as the decision to conduct the
necessary negotiations with the host government in preparation for the closing, is made
by the Board of Directors of CARE International. The closing decision will be based
upon recommendation from the Lead Member who will have conducted considerable
discussions with the Country Director, the Host Government and usually with officials of
the governments of the Lead Member and all other involved CI Members.
The cooperation of national personnel and cooperating host government and host
agencies is extremely important. Not only must they understand why CARE is
terminating operations in the country; they must also be aware of their part in
successful cessation of activities, or continuation under another (responsible)
management.
While the decision to close a country programme is based upon sound reasons, there
is no question that in some instances there can be resentment unless the close-out is
carefully and diplomatically carried out.
For this reason, and for the sake of common logistical sense, it is important that each
element in the close-out process be treated as essential and that the job be executed
in as orderly a manner as possible. All CARE agreements have termination clauses
which have to be complied with. Country Directors should be particularly alert to the
fact that there will be a number of tasks of a current operating nature that will be
continued until the closing is completed.
For closing procedures, see following Procedures Chapter.
.............................
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Procedures
A.
PROBE MISSIONS
1.
2.
3.
Pre-Probe Soundings
a)
If a National CARE is undertaking initial prospecting, including an
informal visit to a country to assess likely potential for CARE
programming (and thus a subsequent official probe) then, via the CI
Secretariat, the CARE network should be advised as far in advance
as possible.
b)
Prior approval by the CI Board is not required for these preliminary
soundings, but the “family” should be kept in the picture, and there
should be no pre-emptive commitments.
Authorisation Of Probe Missions
a)
A formal probe mission must have the approval of the CI Board.
b)
Any National CARE can propose a probe, and such a
recommendation should be processed through the National Directors’
Committee
before
going
to
the
Board.
c)
A probe should preferably have the active interest and support of at
least three National CAREs (two as a minimum), with one such CARE
being prepared to take responsibility for Lead Membership (and
commitment to a programme of support for the country).
Objective Of Probe
The objective of the probe team is to investigate the appropriateness and feasibility of
running a CARE Operation in the country by addressing the criteria lists in section IIA of
this document.
4.
Probe Team Membership
a)
Size and composition of probe teams should take account of the
nature of the country to be visited.
b)
However, generally speaking, probe teams should be kept to
manageable and reasonable proportions, should be smaller rather
than bigger, and with a maximum of six members.
c)
Ideally, teams should reflect an amalgam of skills and experience
(appropriate
technical
and
programming
expertise,
plus
political/diplomatic skills).
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5.
d)
Names for consideration for a probe should be submitted to the CI
Secretariat.
e)
Based on consultation with the participating CAREs, the Secretariat
should prepare a list of a proposed mission team (seeking to arrive at
the most propitious balance of skills, experience and National CARE
representation).
f)
If, after thorough negotiation with all parties, the Secretariat’s
proposed team membership does not prove acceptable to any one of
the participating National CAREs, then the matter should be referred
to the CI Board for final resolution.
Leader Of Probe Team
a)
b)
6.
An appropriate team leader should be identified in the consultations
between the Secretariat and the participating National CAREs.
The name of the proposed Leader should be submitted to the CI
Board by the Secretary General for approval.
Special Situations
If unusual circumstances, special timing factors or other demands meant that all or some
of the above provisions were inappropriate to meet immediate requirements, then the
matter should be resolved by the Secretary General in direct consultation with the
Chairperson of CARE International.
7.
Special Responsibilities
To the extent time and local conditions permit, the Probe Team should examine the areas
listed in H of this document.
8.
9.
Post-Probe
a)
The probe team report should be submitted to the CI Secretariat,
which has responsibility for distribution to all National CAREs.
b)
The report should be assessed by the National Directors’ Committee
before going on to the Board for final decision.
c)
In accepting a recommendation for entering a new country, the CI
Board would also decide on the National CARE to be appointed as
Lead Member.
Specific Responsibilities Of A Probe Team
The specific responsibilities of the Probe Team in each area of its work are
summed up in the following sections:
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Establishment of contacts - One of the first duties of the team is to
establish contacts through preliminary interviews with officials of the host
governments, ambassadors of countries involved in CARE funding and
programming, the United Nations and other voluntary agencies. Such
contacts will include:
a)
Officials of the host government with whom CARE will be primarily
concerned;
b)
The Ambassador and other embassy and aid officials of the CI
Member nations represented on the country team;
c)
UNDP Resident Representative;
d)
Heads of other voluntary agencies, international and domestic;
e)
Directors of international organisations or foundations;
f)
Ambassadors of other countries involved in CARE funding and
programming.
These interviews should include discussions of types of programmes
CARE seeks to implement and, where host government officials are
concerned, underscoring the benefits that will accrue to the country and an
outline to the type of cooperation that will be required to insure the success
of the programme.
A summary of these interviews should form a part of the team’s report,
together with a list of all such contacts and comments on each person and
his/her importance in the development of the CARE country programme.
Preparation of an Aid Profile - The team will make a thorough survey of
all foreign aid being received by the host government from various sources,
and will compile this into a profile of foreign aid, to be included in the team’s
report.
Logistics - The team should investigate the logistical feasibility of the
prospective country programme in the following areas:
•
Office space/equipment - The team should see if suitable office space
and/or equipment would be obtained from the government, or, if not,
where it is available, and relative costs.
•
Personnel - The team should collect a copy of the labour laws of the
country, and make an initial assessment of the quality of personnel
available.
•
Communications - Effectiveness of the postal, telephone and telex
systems should be assessed.
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B.
•
Banking arrangements - While Lead Member headquarters should be
able to recommend a bank in the new country to which funds can be
easily transferred by Letter of Credit, that recommendation, and
alternatives, should be investigated.
•
Travel survey - This will include a report on methods of travel within the
country likely to be used by CARE personnel, including automobiles
(types suitable for CARE standardisation, availability of maintenance,
etc.), air, train, boat, timings and relative costs.
•
Media - During its period in the country, the team should, if time permits,
make a survey of available publicity resources including the individual
media: press, radio, TV, news agencies (both domestic and
international); and also including a list of influential newspapers, editors
and other representatives of the media, their addresses and phone
numbers.
•
Ports/warehouses/distribution - Where food distribution is to be a
major component of country operations, the team should also thoroughly
investigate available ports, warehouses and distribution facilities.
•
Field surveys and initial programme definition - The team will make
field surveys to include at least two areas in the country where the
programme is likely to be operating. The team should being the
groundwork on programming and develop initial project concepts, and
concept papers, as far as time permits, through discussions with
government officials at the centre and in some of the areas surveyed,
and with prospective bilateral donors, where appropriate. They should
visit typical sites and hold discussions with local people and authorities
to identify probable types of projects, determine the degree of
participation that can be expected from the local government and
populace, and identify possible problem areas.
BASIC COUNTRY AGREEMENT WITH HOST GOVERNMENT
1.
Authority
Only after the criteria for country entry have been met with the probe team’s Lead
Member’s and CI Secretariat’s satisfaction will a Basic Country Agreement be
signed.
While the CI Secretary General is ultimately responsible for all preparatory work
connected with CARE International’s entry into a new host country, the Lead Member will
have the authority to negotiate a Basic Country Agreement with the host government on
behalf of CI. No Country Office staff is to undertake such negotiations without prior
authority from the Lead Member.
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2.
Purpose
It is important that CARE’s position in every country in which it operates be
confirmed by a written Basic Country Agreement between the host country
government and CARE International. This Agreement, which has no expiration
date, establishes CARE’s legal base with the host country for undertaking
projects as well as for its operations.
3.
Format
A sample Basic Country Agreement is attached as an appendix.
The sample sets forth the desirable provisions which facilitate CARE’s operations
for those Country Offices that, with CARE International’s and Lead Member
Headquarters’ prior approval, will be undertaking to establish or amend Basic
Country Agreements.
Following are a few important notes regarding certain parts of the Basic Country
Agreement.
a)
Currency conversion
Clause III(H) allows CARE to exchange currency at as favourable rates of
exchange as provided to foreign governments. It also allows CARE to remit
currency to other countries. Prior to signing the Agreement the appropriate
Member national embassies should be consulted to be sure that there are clear
and satisfactory rules applying to currency conversion and remittance.
b)
Provision for handling, warehousing, transportation, office space and
postage
Clause III (G) has been included so as to obtain the host government’s
agreement to provide facilities and personnel for unloading, handling,
transporting and warehousing of all CARE materials, in addition to providing
office facilities, staff housing and franking privileges. The wording of the portion
dealing with office space and housing has been made flexible so that the
government may either grant, lease, or sell land, office space or other facilities,
including housing, to CARE. Generally, it is more desirable, however, to secure
financial commitments for office and housing facilities, rather than receiving this
support in-kind. Nevertheless, the sub-paragraph should be included in the Basic
Country Agreement, in whole or in part, to the extent possible. As negotiations or
situations dictate, separate Project Activity Agreements may then provide that the
government shall provide specific amounts of funds in satisfaction of its
obligations under the Basic Country Agreement to provide such facilities.
4.
Signature, Ratifications, Witnesses and Notary
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a)
The Basic Country Agreement should preferably be signed by the Head of
State of the host country. In his absence, the Ministry of Foreign Affairs
should sign. This is always the most desirable situation as fewer
repercussions can arise.
b)
Whether the Minister of Foreign Affairs in a given country has signed the
Basic Country Agreement or not, this Ministry in each country has the
continuing responsibility for all treaties and agreements with international
agencies, such as CARE, and other governments. It is therefore necessary
to register the Agreement with the Ministry of Foreign Affairs and have its
approval. Those countries where the Basic Country Agreement has not
been registered and approved by the Ministry of Foreign Affairs should
correspond with Lead Member Headquarters in order to plan the timing for
registering the Agreement with the Ministry.
c)
The correct and exact legal procedure to follow for establishing a legal
agreement varies from country to country. It is, therefore wise to obtain
professional legal counsel for guidance. In some countries, the Council of
Ministers must ratify all bilateral agreements. In others, a Congressional
law must be passed.
Often the Agreement must be published in the Official Gazette to become legal. It may
also be necessary to have it notarised and/or witnessed. Finally, it is always desirable to
indicate in the preamble or at the end of the Agreement, the authority by which the signers
are authorised to undertake such bilateral agreements.
d)
5.
While the need to follow strict legal procedures may seem unimportant at
the time, it is essential to have the proper legal base of operation in a
country, particularly as programmes become larger or more complex and
governments change.
Dissemination
The original and, if possible, two copies of the signed, sealed, and ratified Agreement
must be sent to the CARE International Secretariat and the appropriate regional manager
at Lead Member Headquarters, along with the same number of notarised original official
English translations of the Agreement. A suitable number of copies should also be
retained by the Country Office and the host government.
6.
Relation to Separate Project Activity Agreements
A Basic Country Agreement must be signed prior to any project agreement by a
CI Member.
Project Activity Agreements, which outline specific contractual terms (funding,
supervision, etc.), are undertaken by CARE and the counterpart(s) to govern
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particular projects and the circumstances related to project implementation, and
may thus vary from year to year. The Basic Country Agreement is intended to be
broad enough in latitude and scope to enable CARE to undertake all types of
development and relief activities regardless of whether they were planned or
envisioned at the time the Basic Country Agreement was signed. As a result,
importance has been placed in the Basic Country Agreement on signing
separate Project Activity Agreements for all activities which CARE undertakes in
the host country. Thus while it is possible for CARE to undertake activities
without formal agreements, such as pilot projects, non-recurring special projects,
etc, every effort should be made by the Country representative to sign such
agreements for all CARE’s major activities in the country, so that those activities
are unambiguously covered by the Basic Country Agreement.
C.
COUNTRY PROGRAMME INSTALLATION
General Background
A new country programme is implemented by Country Office staff once the Basic
Country Agreement is signed. They may be supported by a neighbouring
operational CARE Country Office or by other mechanisms deemed appropriate
by the Lead Member in consultation with other CARE International Members.
The following concerns the Country Office’s responsibilities in establishing a new
country operation.
Task
The task of the Country Office staff is to do everything necessary to get the new
country programme operating. The activities involved in reaching this objective
consist of establishing a CARE office with personnel, equipment, facilities for
banking, communications and transport; getting known in the country through
publicity activities; and immediately engaging in further programme development
and implementation.
Specific Activities
Establishment of the CARE office and services. Immediately upon arrival, the
Country Office staff should set about establishing the CARE office and related
services. Areas of activity include:
Office space and equipment
On the basis of the probe team’s report, the team should sign a lease for office
space which seems to meet CARE’s needs and budget, and proceed
immediately with purchase of sufficient office furniture and equipment to make
the
office
operational.
Personnel
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The Country Director must be aware of and completely understand the labour
laws of the country and establish personnel policies and practices which comply
with them fully. The importance of this at the early stages of developing a new
country programme cannot be overly stressed.
Completely translated conditions of employment must be used in all hiring.
Good sources of local personnel for the CARE office are usually the
personnel officers of AID, other bilaterals, UNDP, foreign companies
and lastly, advertising in the local press.
Personnel to be hired immediately may include a secretary, typist,
driver/messenger.
Postal and Communication Services
Relations with the post office should be established together with registration of a
post office box in CARE’s name. The team should at an early date establish an
E-mail address as well as a telephone and fax line.
Banking arrangements
Based on the probe team’s report, and headquarters’ approval, the Country
Office should establish appropriate banking arrangements.
Finances
Prior to opening a bank account, the Country Director will be provided by the
Lead Member with travellers cheques or other funds and will make Travel
Advances to members of staff from such funds. At the same time, all expenses
incurred by the team are to be reported. That is to say that both expenses
incurred in establishing the Country Programme such as for stationery, office
supplies, etc, and expenses for the individual staff members such as hotel,
meals, laundry, etc, are to be reported on Travel Expense Reports (TERs).
Once a bank account has been established, all expenses related to the
establishment of the Country Programme will be charged and reported on the
regular Monthly Financial Report. Individual staff members will continue to report
expenses incurred by themselves for hotel, meals etc, on TERs.
Vehicle survey and standardisation
If the probe team has not already done so, the Country Office staff should make
a complete and comprehensive survey in regard to vehicles, including:
The types of vehicles needed for use in the CARE programme, such as
four-wheel drive type, sedan type, trucks, etc.
The make and models, suitability and costs of such vehicles readily
available in the country, and delivery time.
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The types of service for such vehicles, including availability and prices of
spare parts.
A list of garages and an indication of their maintenance capability, and also
the cost of gasoline and oil.
On the basis of this survey, the Country Director should designate CARE
standard vehicles for use in the country.
Budget
The Country Office should prepare a complete programme budget for the coming
year as quickly as possible.
CARE Programme Planning
A major aspect of the Country Office’s work will consist of drafting the country’s
Long Range Strategic Plan.
Publicity/Notification
The Country Office should take steps to publicise CARE’s arrival in the country
and to prepare the way for future publicity activities.
The Country Director should take pains to formally or informally contact all parties
listed in the probe team’s contact list. (S)he should also issue, either
independently or through the government ministry coordinating CARE’s activities,
a news release covering CARE’s arrival and anticipated programme in the
country. If feasible and appropriate, a news conference should be arranged to
introduce the new Country Director and discuss CARE programming.
Monthly Summary Report
Until the Country Office is fully established and a Long Range Strategic Plan has
been submitted to and approved by the Lead Member, it is suggested that a
Monthly Summary Report should be submitted to the Lead Member.
The Monthly Summary Report should cover the following points:
Programme Development - relate efforts made in investigation and
development of CARE programmes;
Other Development Activities - provide information on what is going on in
the country related to development by other host country and
international
agencies;
Counterpart Relations - describe CARE’s developing relations with host
country counterparts;
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Personnel and Operations - give an update of personnel needs (national
and international) and operational requirements, such as office space,
equipment, etc;
Travel - describe travel for the month outlining purpose, people who you
met and accomplishments, if any.
D.
CLOSING PROCEDURES
1.
Announcement of Closing
The delicacy of negotiations involved in the termination activities in the country before
the official announcement requires the utmost discretion: announcement of the closing
and termination date should be kept confidential both in Lead Member headquarters
and the country as long as possible, and any information concerning intention to close
a Country Programme or any communication or reports on problems involved in and
recommendations for closing must also be kept confidential by all concerned until such
a decision is final.
Under optimum conditions, the formal announcement of closing of a programme would
take place simultaneously from Lead Member headquarters and from the Country
Office. Presumably, the announcement will indicate the target date far enough in
advance of the actual closing date so that contracts can be terminated successfully and
all business can be completed. Before the formal announcement, however, all of the
preliminary notifications to interested officials in all concerned countries will have been
completed.
2.
Special Notifications
Government and other officials
Apart from publicity on the closing of operations, the following groups of people have to
be notified formally of the closing and thanked for their cooperation:
a)
All central and local government officials and ministries with whom CARE
has been in contact and with which CARE has been working.
b)
All local or other non-governmental agencies with which CARE has been
cooperating.
c)
Diplomatic and bilateral donor representations of CARE Member countries,
UN and EU institutions etc.
d)
Any independent individuals or groups of individuals with whom CARE has
been working on a regular basis, such as committees, embassy wives or
husbands, etc.
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e)
Any society or organisation which has endorsed CARE’s activities or which
has participated in programme sponsorship, implementation or support,
such as Local Lions, Rotary, business groups, etc.
Notification should also be sent to leaders of communities aided or projects
implemented through CARE activities.
Copies of all such formal notifications as well as any responses should be sent to Lead
Member headquarters. Letters from officials who acknowledge the effect of CARE’s
activity in the country become an important part of the history of CARE activities.
Local contractors
CARE has obligations to notify the following groups so that leases, contract, purchase
and rental agreements can be completed and terminated:
a)
All landlords or owners of CARE premises, offices and warehouses.
b)
All public utilities such as telephone, light, heat and so forth. Any prepaid
expenses or deposits for such services should be applied against the final bill or
should be refunded if in excess of any final payment.
c)
All vendors with whom CARE has purchase contracts. In some instances this
may mean completion of purchase contract, while in other instances it might
mean the re-negotiation and cutting back or the speeding up of deliveries of
materials contracted. In any re-negotiations, the Country Director should do
everything in his/her power to keep the costs and penalties to CARE, if any, to a
minimum.
d)
Owners of equipment or appliances rented by CARE are to receive notification of
the dates on which rental charges are to cease and when the equipment is to be
reclaimed.
Personnel
CARE must be sensitive to the well-being of national personnel whose
termination is part of the closing.
a)
Each national employee should receive a formal notification of the closing
of the office and of the date on which his/her services will be terminated. In
all respects, CARE must abide by the local laws agreements covering
employment. All severance pay and other terminal benefits must be paid to
each employee as required by any employment contracts or local
legislation. The Country Director must be fully informed and aware of all
local labour laws and practices of the country and insure that CARE’s
country personnel and employment policies fully comply.
b)
CARE should do everything in its power to assist local employees in getting
new jobs with other agencies or elsewhere. In any event, the Country
Representative should prepare a letter of recommendation to be given to
each employee.
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c)
2.
3.
Any signature powers are to be ended and any identification cards should
be recovered upon the termination of each employee. Similarly, the
Country Director should recover keys to vehicles, offices, warehouses and
other premises. Combinations to safes should be changed if any employee
who is terminated prior to closing may have had access to such safes.
Financial Responsibilities
a)
Every effort must be made to get all final bills submitted and paid before the
date set for closing of CARE bank accounts. In the event that such bills
cannot be available until after the closing of the office, the Country Director
should make arrangements to have such bills sent to Lead Member
headquarters for payment and advise the Lead Member accordingly.
b)
Local currency should be used as much as possible to cover all accounts
payable and personnel severance. Any balance should be converted to
home
currency,
if
possible.
c)
Any remaining balances in the Petty Cash Impressed Funds should be
deposited in the Local Currency Bank Account.
d)
If local currency cannot be fully expended by paying closing expenses or if
remaining local currency cannot be converted, a report to this effect must
be sent to Lead Member headquarters. This report should contain
recommendations for the use of remaining currency. Headquarters will
advise on the disposition of such balances and any blocked local currency.
e)
Besides notifying all banks of the closing, great care should be exercised to
maintain sufficient balances in the account to cover any cheques which
have not cleared the bank account.
Undelivered Inventory
All undelivered inventory must be delivered or title turned over to responsible third parties
and reported to Lead Member headquarters. Complete plans for the distribution of all
inventory should be sent for approval by the Lead Member headquarters, should it be
impossible to complete distribution prior to closing. The Country Director should make
arrangements with someone in the country to receive any signed receipts and to forward
such signed receipts to headquarters, if the office closed before all distributions are
accounted for. Under such circumstances, a list of all inventory for which receipts will be
sent at a later date should be prepared and sent to headquarters prior to closing the
Country Office.
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4.
Project Status
a)
5.
6.
When a decision is made to close a Country Programme the Country
Director should submit to headquarters a status report for all outstanding
projects (both contributory and non-contributory). This status report should
indicate:
•
What is still remaining to be completed for each project in terms of
actual final completion, contractual obligations with the counterpart,
recipients or other interested parties.
•
Status of local purchases for each project.
•
Time schedule on completion in terms of the country programme
closing
date.
•
Recommendation for curtailing the balance of incomplete projects or
fulfilling them as originally planned taking into consideration
contractual obligations and cancellation clauses.
•
Recommendation for handing over ongoing project activities to other
qualified national or international entities.
b)
Evaluation reports are to be prepared for any un-evaluated project.
c)
Every effort should be made to complete any outstanding donor
letters/reports.
Insurance Claims
a)
CARE should press for settlement of all outstanding claims originated by
the Country Office.
b)
On all such claims that cannot be settled before the close of the office,
CARE should prepare a report, complete with documentation on each
claim, so that they can be followed up by headquarters after the close.
c)
If there are claims for agricultural commodities against the host
government, the value of such claims should be deducted from the
Financial Accountability Report(s) or otherwise paid to the embassy who’s
country donated the commodity.
Office Inventory, Vehicles
Office inventory
CARE will establish a fair local market value for all desks, computers, and other
equipment in the Country Office. Recommendations should be made for giveaway to any agencies or for sale. If the equipment is to be given away, Lead
Member headquarters will approve the disposition of this property, or may decide
that the office property is to be transferred to other countries. The value of the
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goods and transhipment costs will be the governing factors in arriving at this
decision.
Vehicles
7.
8.
a)
If vehicles have been purchased from host counterpart funds, such vehicles
are to be transferred to the counterpart.
b)
Instructions are to be requested from Lead Member headquarters as to the
disposition of all CARE-owned vehicles. The request must indicate the
condition of the vehicles and their local market values.
c)
On all vehicles, the Country office is to notify headquarters of the actual
dates of disposition so that they can be removed from perpetual inventory
as well as from fleet insurance coverage.
Disposition of Records
a)
All correspondence between Lead Member headquarters and Country
Office, except on pending matters and items related to programme
fulfilment, can be destroyed.
b)
All correspondence between the closing Country Office and other Country
Offices except on pending matters can be destroyed.
c)
All local correspondence with vendors, host government and other
agencies is to be shipped to Lead Member headquarters.
d)
Copies of CARE manuals are to be returned to Lead Member headquarters
unless otherwise instructed by Lead Member headquarters.
Final Reports (as of date of closing)
Financial
The Country Office is to submit to Lead Member headquarters a final financial
report as of the date the programme ceases to exist. Appended to such report
should be a complete description of any open matters pertaining to finances,
letters of credit, bank balances and related subjects.
Inventory
a)
A final physical inventory report on all items should be submitted as of the
date the programme ceases to exist. Appended to such report should be a
statement of all differences between the Country Office’s book inventory
and physical count.
b)
Such items as “in transit” deliveries for which signed receipts have not been
received should be part of this appended statement. A statement is to be
included indicating the disposition of any inventory remaining, what
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arrangements have been made for custody, accountability and Financial
Accountability Reporting.
Final Evaluation Report
The Country Director is required to prepare a complete discursive report evaluating the
total operation of the programme, including such things as successes, failures, good
programmes, bad programmes and any evaluations which may have been received from
host agencies or host government officials. However, it is understood that circumstances,
on occasions, may make this unrealistic.
E.
GUIDELINES FOR COORDINATION IN LIMITED PRESENCE - May 1996
1.
2.
Preamble
a)
CARE’s Country Presence Policy provides for the appointment of a
Coordinating Member when more than one Member CARE is involved in a
Limited Presence situation.
b)
The following guidelines, which are supplemental to, and should be read in
conjunction with, the Country Presence Policy, set parameters for the role
of Coordinating Member in situations of Limited Presence.
c)
The guidelines reflect a desire amongst CI Members to:
i)
encourage joint action by CI Members wherever possible;
ii)
provide flexibility to Members wishing to undertake limited
interventions, without assuming full Lead Membership responsibilities,
in those countries in which there is not broad, long-term interest
among CARE’s membership;
iii)
ensure high quality programming in countries in which conditions are
not conducive for a long term CARE presence.
Definitions
a)
Definitions of terminology used in these guidelines are as follows:
i)
Coordinating Member
The Coordinating Member is the CI Member CARE designated by CARE
International as having a responsibility for coordination of CARE’s Limited
Country Presence, where this is deemed necessary.
ii)
Participating CARE Member
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A participating CARE Member is any operational or non-operational
National CARE that is contributing to, or involved in a Limited Country
Presence situation.
3.
4.
5.
The Nature of Coordination
a)
Coordination is the mechanism by which Members engage in a consultative
process that endeavours to maximise the participation of all interested CI
Members in a country in which a Limited Presence has been approved.
b)
The appropriate degree of coordination will be determined in any particular
case by the concerned Members. However, in certain Limited Presence
situations, CI will designate one Member as Coordinating Member.
c)
By its very nature, Limited Presence implies a lower level of coordination
than either long-term or temporary presence situations. Members may or
may not establish presence in the country in question. However, if more
than one Member is active in a given situation, the concerned Members
will, at a minimum, regularly exchange information on their respective
activities and operations.
Country Assessment
a)
Any interested CI Member can initiate and/or take part in country
assessments. Priority in this regard should be given to joint assessments.
The CI Secretariat must be advised in advance of the intention of any
Member to undertake an assessment in any country to be proposed for
Limited Presence or in which Limited Presence has already been granted
to a Member.
b)
Any Member seeking to undertake an assessment in a country in which
another Member has established Limited Presence must contact that
Member and to the degree possible seek to involve that Member in the
assessment mission.
c)
Similarly, it is the responsibility of a Member already involved in a Limited
Presence situation, to the degree possible, to facilitate and assist other
CARE Members wishing to make assessments.
d)
Following any assessment, the entire CARE International network will be
informed by the Secretariat of initiatives relating to prospective Limited
Country Presences.
Designation of Coordinating Member
a)
There are two types of situations under which CARE International will designate
a Coordinating Member in a Limited Presence situation:
i)
Where there is more than one approved Limited Presence in a particular
country, CARE International will normally designate one Member as the
Coordinating Member. This requirement may be waived by CARE
International (as represented by the National Directors’ Committee) if
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none of the concerned Members is willing and able to assume a
coordination role.
ii)
b)
6.
Where only one CI Member has an approved Limited Presence in a
country, but where one or more other Members express particular interest
in that country, CARE International may designate the concerned CARE
as Coordinating Member.
Designation of a Coordinating Member will take into consideration the following
criteria:
i)
The level of financial and material resources the Member intends to invest
in the country.
ii)
The infrastructure sufficient to meet the limited demands of coordination.
iii)
A possible longer term commitment to the area/country.
iv)
The Limited Country Presence status and designation of Coordinating
Member will be reviewed by CI within six months of designation and
yearly intervals thereafter.
Responsibilities of a Coordinating Member
To ensure that an appropriate legal basis is established to cover CARE’s activities in the host
country;
a)
The Coordinating Member will respect the interest and requirements of all
Members but is not expected to provide the full range of Lead Member services
to other participating Members.
b)
To ensure that all interested Members are informed and coordinating to the
extent possible, the Coordinating Member will schedule and facilitate periodic
coordination meetings. Such coordination meetings might cover programme
planning, implementation, the review of approaches to multilateral donors,
funding, national staff employment and personnel policies, and explore
opportunities for closer collaboration and sharing of facilities;
c)
The Coordinating Member will inform all other Participating Members and the
Secretariat of any significant changes in host government/local authority
relations and when requested by them, will in the name of CARE International,
represent participating Members in matters pertaining to the host government
and local authority.
d)
Each Member, including the Coordinating Member, is solely responsible for
direct liaison with the home office of its own bilateral donor(s).
e)
To provide the CI Secretariat with periodic reports, on at least a semiannual basis, on all CARE activities in the country. The Secretariat will
share this information with all CI Members;
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7.
8.
Responsibilities of other Participating Members
a)
To provide periodic information, on at least a semi-annual basis, regarding
all of their activities in the country to the Coordinating Member when one
has been named. In cases where no Coordinating Member has been
named, such reports should be provided to the CI Secretariat;
b)
To attend periodic coordination meetings, as organised by the Coordinating
Member.
c)
To avoid potential duplication and confusion, to advise the Coordinating
Member of intended contact with multilateral donors.
Termination of Coordinating Member
a)
9.
Dispute Resolution
a)
F.
If a Participating Member is dissatisfied with the performance of the
Coordinating Member, established procedures may be brought into play to
replace the Coordinating Member.
Any disagreements between Participating Members will, if practicable, be
resolved at the field level or, alternatively, in consultation among the
respective CARE Lead Member headquarters. In the event of an impasse,
the matter will be referred to the Secretariat to handle in accordance with
the CI guidelines.
GUIDELINES FOR COORDINATION IN TEMPORARY PRESENCE SITUATIONS Nov 1995
1.
Preamble
a)
CARE’s Country Presence Policy provides for the appointment of a
Coordinator when more than one CARE Member is involved in a Limited or
Temporary Country Presence.
b)
The following guidelines, which are supplemental to, and should be read in
conjunction with, the Country Presence Policy, set parameters for the role
of Coordinator in Temporary Presence situations only.
c)
The guidelines reflect a two-fold desire amongst CI Members: (a) to
improve the quality and speed of CI’s emergency response in Temporary
Country Presence situations, and (b) to achieve a more cohesive CI
response, based on broader participation by the consultation between
Members, in emergency situations where Lead Membership does not
apply.
d)
The guidelines will help to achieve cooperation, openness, transparency,
mutual trust and respect amongst Members. Their faithful implementation
will take this process still further forward.
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2.
Definitions
a)
Definitions of terminology used in these guidelines are as follows:
i)
Coordinating Member
The Coordinating Member is the National CARE Member designated by
CARE International as having overall responsibility for coordination of
CARE’s Temporary Country Presence.
ii)
Participating CARE Member
A participating CARE Member is any operational or non-operational
Member that is contributing to or otherwise involved in one or more project
activities in a Temporary Country Presence Situation.
iii)
Coordinator
The Coordinator is the person designated by the Coordinating Member to
be responsible for CARE’s Temporary Country Presence.
iv)
Coordination Team
The Coordination Team comprises the Coordinator and in-situ
representatives of CARE Members contributing to one or more project
activity in a Temporary Country Presence situation.
3.
4.
Assessment
a)
Any interested Member can initiate and/or take part in assessments.
Priority in this regard should be given to joint assessments.
b)
The CI Secretariat should be informed, both in advance and following, any
such assessments. CI will, in turn, inform all CARE Members and, as far
as possible, will coordinate and facilitate the participation of interested
Members.
c)
Guidelines for Members wishing to undertake assessments are provided in
CI’s Emergency Response Coordination Guidelines, which are included in
the CI Code.
d)
Following any assessment, the entire CARE International network will be
kept fully informed by the Secretariat of initiatives relating to prospective
Temporary Country Presences.
Designation of Coordinating Member
a)
Within a maximum of 48 hours of the decision to mount a formal CI
assessment, any CARE Member interested in serving as Coordinating
Member will inform the Secretariat to this effect.
b)
Where there is more than one Member interested in serving as
Coordinating Member, the Secretariat will make the decision within a
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maximum of 96 hours of the decision to mount an assessment. Criteria
against which such a decision will be made will include:
5.
Financial and material resources - the degree to which a Member can
bring these to bear on the emergency.
ii)
Ability to respond quickly - the deployment of personnel and other
resources in a timely manner.
iii)
Ability to put into place management systems sufficient to monitor
operations and to respond to the needs of Participating Members.
iv)
Experience in the area/country in which the emergency occurs.
c)
Prior to the designation of Coordinating Member, the CARE Member
leading the assessment will serve in this capacity.
d)
The Member selected as Coordinating Member will place a Coordinator in
the field within a maximum of five days from the Coordinating Member’s
designation.
e)
The interests and requirements of all Members - operational and nonoperational - will be respected by the Coordinating Member and
Coordinator.
f)
The Temporary Country Presence status and designation of Coordinating
Member will be reviewed by CI within six months of designation and at six
monthly
intervals
thereafter.
The Objectives of Coordination
a)
6.
i)
The objectives of a coordinated emergency response in Temporary Country
Presence situations are three-fold:
i)
To allow rapid and high-quality responses to rapid-onset emergency
situations in countries in which CARE has no current operational
presence.
ii)
To ensure the broadest possible participation among CARE Members
in Temporary Country Presence (i.e. emergency) situations.
iii)
To make optimal use in such situations of the skills, resources and
experience of interested CARE Members.
The Nature of Coordination
a)
Coordination is the mechanism by which Members engage in a consultative
process that endeavours to maximise the participation of all interested CI
Members in a combined CI emergency response. Coordination can only
work effectively if all Participating Members, and the Coordinating Member,
enter into this in a spirit of open and transparent cooperation.
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7.
8.
b)
The Coordinator and the Coordination Team, have responsibility on behalf
of CI for specifying the optimal level of coordination for any given situation.
c)
The parameters of coordination, as described in this paper, define the
maximum authority that can be assumed by the Designated Coordinating
Member and assigned Coordinator in a Temporary (i.e. emergency)
Presence situation. A CI response in a Temporary Country Presence
environment may range from distinct, but coordinated, CI interventions to
integrated joint operations, but may not include uncoordinated distinct CI
Member operations.
d)
While the role of the Coordinator is primarily viewed as facilitative,
ultimately the Coordinator must be vested with decision-making authority in
the event that a consensus cannot be achieved within the Coordination
Team.
e)
In the event that a Member of the Coordination Team or other Participating
Member is in disagreement with the level of coordination achieved, they
may appeal through the established CI grievance procedures.
Encouragement of CARE Member Participation
a)
It is the primary responsibility of the Coordinating Member to facilitate an
appropriate and timely response of CARE International Members to
emergencies occurring in a Temporary Country Presence situation. The
Coordinating Member should in addition ensure a flexible and responsive
environment that encourages all CARE Members to maximise their
participation in the emergency response, including Members who wish to
contribute in the absence of their own in-situ representation.
b)
Such facilitation will be achieved primarily through the timely and regular
communication to all Members, facilitated where possible by the CI
Secretariat, of accurate information pertaining to programme plans and
developments, and met and unmet resource requirements.
Representation vis-à-vis Host Government/Local Authority
The Coordinator, in consultation with the Coordination Team, and in the name of CARE
International, will represent Participating Members in matters pertaining to the host
government/local authority (e.g. country agreements, registration, work-permits, import
exemption negotiations, etc.), and to NGO consortia and other local coordinating bodies.
In this regard, the Coordinator will inform all Participating Members and the Secretariat of
any significant changes in host government/local authority relations.
9.
Legal Framework of Country Presence
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The Coordinator, in consultation with the Coordination Team, and in the name of CARE
International, will be responsible for facilitating the negotiation of any appropriate legal
framework for the level of CARE International presence within the country agreed upon by
Participating Members.
10.
Representation vis-à-vis Bilateral Donors
Each Participating Member, including the Coordinating Member, is solely responsible for
direct liaison with the home office of its own bilateral donor(s) unless otherwise agreed by
the Participating Member in question. The Coordinator is responsible for keeping CARE
Members informed of, and will be guided by, Member interests in the course of on-theground developments relating to the bilateral donors of those Members.
11.
Representation vis-à-vis Multilateral Donor
The Coordinator, in consultation with the Coordination Team, will be responsible
for facilitating agreement between Participating Members on the form and means
of approaches to multilateral donors.
Approaches made may be one
consolidated approach by all Participating Members, or a number of distinct by
coordinated approaches within a consistent framework by individual, or groups
of, Participating Members.
The Coordinator, in the name of CARE International, will be responsible for representing
the interests of all Participating Members within the agreed-upon framework.
12.
Representation vis-à-vis the European Union
The Coordinator will liaise with a Participating EU CARE preferred route of access to EU
funding lines. Should no EU CARE be participating in the response, the Coordinator will
liaise with the EU through the CI Secretariat, or with other appropriate non-EU CARE
Members who are signatory to relevant framework agreements with the EU.
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13.
Emergency Response Strategy
It is the responsibility of the Coordinator and Coordination Team to develop, and to review
as circumstances dictate, CI’s response strategy to an emergency in any given Temporary
Country Presence situation. It is vital that the strategy so-developed be communicated
faithfully to all CARE Members in a timely fashion.
14.
15.
Programme Planning and Implementation
a)
The Coordinator is responsible for encouraging and facilitating participation
of all interested CARE Members in programme/project planning, funding
and implementation within the framework of the agreed upon emergency
response strategy and subject to CI guidelines.
b)
All proposed activities will be based upon need, operational capability and
appropriateness of outside assistance, as determined by the Coordination
Team.
c)
Project proposals for unmet relief needs will be shared by the Coordinator,
through the Coordinating Member and CI Secretariat, with other CI
Members. The Coordinator will clearly indicate cases where proposals are
being sent and/or forwarded through CARE Members to multiple donors. In
the event of multiple donor approvals, a clear decision should be reached
by the Coordination Team and concerned Member either to increase the
programme size to accommodate additional funding inputs, or to choose
one donor over another. The latter must be based on rational argument,
such as contract timing, restriction, financing, etc.
d)
Project approval will be based on recommendations from the Coordination
Team and the donor Member review process carried out in accordance with
the established proposal review procedures of that Member.
e)
Regular and frequent monitoring reports will be prepared by the
Coordination Team on project progress, achievement, and/or status of
planned activity implementation. These reports will be consolidated by the
Coordinator, and forwarded to the CI Secretariat for distribution to the
membership.
Resource Mobilisation
a)
The Coordinating Member and Coordinator will facilitate cooperation in the
mobilisation of financial and human resources in order to respond in a
timely and appropriate manner. It will be the responsibility of the
Coordinating Member and Coordinator to maximise the participation of
CARE Members interested in providing staffing, funding or material
assistance to the level of operation agreed to by the Coordination Team.
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b)
16.
The application of an open and transparent policy to resource mobilisation
on the part of the Coordinating Member and Coordinator will preclude the
evolution of “propriety rights” to emergencies by any individual Member.
Cross-border Operations
In the event that an emergency response requires that all or part of one of the operations of a Participating Member be
based in another country, the Participating Member seeking to operate cross-border will advise CARE International to this
effect. The Participating Member will also seek agreement from the Lead or Coordinating Member in the host country to
base its operations there and will closely coordinate its activities with that Member. The continued need for such crossborder operations will be reviewed every 6 months by CI.
17.
Human Resources
a)
The following guidelines apply to human resource mobilisation and
administration in Temporary Country Presence situations.
i)
Appointment of Coordinator and Coordination Team
The Coordinator is appointed by the Coordinating Member and will be in
place within five days of the designation of the Coordinating Member. All
Participating Members may nominate a representative to be assigned incountry as a member of the Coordination Team. The timing of the arrival
in-country of Coordination Team members will be agreed between the
Coordinator and the Participating Member.
ii)
Other Staffing
A staffing plan for the agreed-upon level of operation will be developed by
the Coordinator and Coordination Team. The development of the plan will
be predicated on both the desirability of broad mix of international staff
representation in CI emergency operations and the right of Participating
Members to nominate and have placed staff in projects to which they are
providing financial and material inputs.
iii)
International Personnel Management
The Coordinating Member provides supervision of the Coordinator on
behalf of CARE International.
Coordination Team Members are
answerable to their respective CARE Members on matters pertaining to the
development of policy and strategy.
Operational accountability of
Coordination Team Members will be defined by the policy and strategic
framework and the level of coordination specified for the operation by the
Coordination Team. An integrated joint operation (i.e the maximum level of
coordination) implies full accountability by Coordination Team Members to
the Coordinator and, in turn, by international staff assigned to a project by
Participating Members in the line management of the operation. For
distinct but coordinated responses by more than one Member, Member
accountability to the Coordinator will pertain only to a broader framework of
strategic, representational and other policy decisions established and
periodically reviewed by the Coordination Team.
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iv)
In-country Human Resources (International Staff)
The Coordinator, in consultation with the Coordination Team, will be
responsible for defining (minimum and maximum) in-country conditions of
employment (specifically, local paid allowances and local rest and
recooperation provisions) for international staff assigned to the operation by
Participating Members.
v)
In-country Human Resources (National Staff)
The Coordinator, in consultation with the Coordination Team, will be
responsible for establishing maximum consistency of in-country conditions
of employment for national personnel, regardless of the level of operational
coordination decided upon.
18.
Financial Resources
a)
The responsibilities of the Coordinating Member and the Coordinator in the
realm of financial planning and management will depend on the degree of
integration agreed upon for a particular country presence.
b)
At a minimum, the Coordinator and the Coordination Team will have timely
access to all financial data concerning the activities of all Participating
Members involved in the emergency response. This includes data on all
related expenses (local and HQ), cash transfers, regular financial reports
and statements, and donor contracts and financial reports. In the event
that Members fail to make such data available, or in the event that
anomalies are noted, the situation will be referred to the CI Secretariat
through the Coordinating Member, if it cannot be resolved locally.
c)
At the maximum, the Coordination Team may agree to implement fully an
integrated financial operation with one set of books. In such cases, cash
management, financial reporting, contract management and reporting, and
other functions, will be undertaken by one financial unit with the costs of the
unit allocated appropriately to the Participating Members.
d)
Under no circumstances will the Coordinating Member be required to
advance funds to support projects financed by other Participating Members
in the event that they are unable to meet their financial commitments on a
timely basis. Indirect cost recovery on contracts will accrue to the
Participating Member in the case of contracts with its bilateral donors.
In the case of multilateral and other donors, the Coordinating Member in consultation with
other Participating Members will determine the appropriate and equitable allocation of any
HQ costs received under such contracts.
e)
Optimal coordination of CARE Member financial resources in Temporary
Presence situations - which implies the unified management of reporting of
all in-country CI finances - will be contingent on the establishment of a
minimum level of compatibility between Member financial reporting
systems. Until such systems compatibility is achieved, the following will
apply:
i)
Cash Flow
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The Coordinator will facilitate cash transfers from CARE Members to the
country operation, monitor the operation’s cash flow and seek solutions to
associated problems in consultation with the Coordinating Member and in
cooperation with other Participating Members.
ii)
Financial Management and Planning
The Coordinator will provide oversight of the operation’s financial
management appropriate to the level of operational coordination agreed by
the
Coordination
Team.
2.
Media Relations and Public Affairs
a)
This section of the Guidelines is complementary to, and should be read in
conjunction with Section III-G in CI’s Emergency Response Coordination
Guidelines.
b)
During an emergency operation, relations with the media are critical to the
response from institutional and public donors; it is the response which
allows CARE to undertake programmes which address the emergency. It
is therefore important that CARE’s role be widely known and, to that end,
early and active involvement with the media is required.
c)
The Coordinator and Coordination Team will assess the need for additional
media relations coverage within the operation and will advise Participating
Members accordingly. A senior member of staff will be assigned by the
Coordinator as “Media” or “Public Affairs” Officer.
d)
Notice will be given to the Coordinator by any CI Member who wishes to
assign a media relations persons, or arrange the visit of a media team, to
the operation. In turn, the Coordinator will ensure that the media relations
officer or visiting team is provided the maximum possible access to the
operation.
e)
The Coordinator will ensure that CARE Member media relations officers
assigned to the operation, or media team visits arranged by CARE
Members, receive the fullest possible support from the operation. Equally,
however, Members arranging such assignments or visit must ensure that
an intolerable burden is not imposed on the operation and that, as far as
possible, the visitors are self-supporting.
f)
The Coordinator will make him/herself available for interviews with the
media.
g)
Based on the agreed upon response strategy, the Coordinator and
Coordination Team will determine CARE’s position on operational and
other related issues and will exercise control over the substance of
statements provided to the media and institutions at the in-country level. In
this regard, the Coordinator through the Coordinating Member will ensure
that CARE Members and the Secretariat are kept fully informed of
operational and other relevant developments and CARE’s position on
these.
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19.
20.
h)
The Coordinator, through the Coordinating Member, will first clear
statements to be made and positions to be adopted which entail significant
policy implications with the CI Secretariat and other Participating Members.
i)
It is understood that the Coordinating Member, in consultation with the
Coordinator, the Coordination Team, and Participating Members, is
authorised to speak for CARE International on issues pertaining to the
emergency response operation.
j)
It is the responsibility of all CARE Members to conform with statements
made and positions taken at the in-country level by the Coordinator and
Coordination Team in their own contacts with the media. Members
dissatisfied with the performance of the Coordinator and/or Coordinating
Member in this regard may take up the matter through established CI
grievance procedures. See also Code Document “Controversial Comments
and Advocacy”.
Security
a)
It is the responsibility of the Coordinator and Coordination Team to monitor
the in-country security situation and to have in place plans for the
evacuation of personnel and assets should circumstances dictate. The
Coordinator will keep Participating Members informed of developments in
this regard.
b)
In the absence of CI guidelines specifying clearly security conditions under
which either operations may or may not continue, or evacuation of
personnel and assets should or should not take place, a final and binding
decision will be made by the Coordination Team.
c)
It is understood that, in the absence of agreement amongst Coordination
Team members, the Coordinator is empowered to take the decision to
suspend CI operations and/or evacuate personnel and assets on behalf of
an operational Participating Member who wishes to continue its operations.
The Coordinator, however, is not empowered to prevent any operational
Participating Member suspending its operations or evacuating personnel
prior to a collective decision of this kind.
Termination of Coordinating Member
The designation of Coordinating Member will be reviewed at 6 monthly intervals in line
with the existing CI Country Presence Policy. If a Participating Member is dissatisfied with
the performance of the Coordinating Member, established procedures may be brought
into play to replace the Coordinating Member.
21.
Dispute Resolution
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In the case of disagreement between the Coordinator and a Participating Member, it is the
responsibility of the Coordination Team to attempt to resolve the dispute locally. In the
event that the Coordination Team is unable to resolve the dispute, the approved CARE
International guidelines for conflict resolution will be applied.
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Appendix:
Sample Basic Country Agreement
(minimum requirements)
The successful negotiation of Basic Agreements is seldom easy. It requires cultural
comprehension, negotiating skills and the clear understanding of what is and what is not
negotiable. Presentation and wording too can become issues. In the negotiation process,
however, these are important only in the sense that the final language protects CARE.
The draft basic format is a rigorous, encompassing document. It serves as a starting point
from which to negotiate down, if necessary. However, even the minimum Basic Agreement
to be acceptable, must protect CARE and respond to its needs in the following areas:
1. The right to appoint and withdraw personnel.
2. The right to import and re-export project materials, free of duties, taxes and fees.
3. The right to import and re-export the personal effects of its expatriate staff, free of duties,
taxes and fees.
4. The exoneration from taxes, duties, fees or related restrictions of CARE and its personnel.
5. The ability to access favourable exchange rates; not less than those extended to foreign
governments and the UN.
6. The provision, free of cost, of port facilities including handling and storage.
7. The right of CARE to retain title to project materials and to distribute them to the intended
recipients.
8. The provision of appropriate travel credentials and under normal circumstances the
freedom of unencumbered travel within the country.
9. The right to mark and label CARE materials as required by CARE.
10.Termination clause.
(SAMPLE STANDARD BASIC AGREEMENT)
BASIC AGREEMENT BETWEEN THE GOVERNMENT OF
AND CARE INTERNATIONAL
The Government of
, represented by (name and title), and CARE International,
represented by (name and title) agree as of this
day of
20
as follows:
WHEREAS, CARE International (hereafter referred to as “CARE”) a not-for-profit, nonsectarian, non-governmental organisation, provides a means for concerned individuals,
Page 104
organisations and governments throughout the world, through their voluntary contributions, to
express their friendship for the people of other countries by extending cooperation in the form
of developmental, emergency relief and other forms of assistance; and
WHEREAS, the Government of
(hereafter referred to as “the Government”),
welcomes CARE’s offer to voluntarily cooperate with the people of
in development,
emergency relief, and other programme activities whose purpose is advancing human
welfare;
NOW, therefore, the Government and CARE agree as follows:
PURPOSE:
The purpose of this Agreement is to establish the legal framework for CARE’s
cooperation with the government and people of
.
RESPONSIBILITIES OF CARE:
CARE agrees to:
Solicit contributions from its donors to support development, emergency relief, and
other programme activities carried out in whole or part by CARE in accordance
with one or more agreements or otherwise for the benefit of the people of
,
and conducted directly between CARE and any beneficiary or prospective
recipient of such assistance;
Use such contributions to provide project management and operations, technical
services, and material support for development, emergency relief, and other
programme activities that benefit the people of
;
Recruit and acting within relevant national law, be entirely responsible for the
disbursement of wages, fringe benefits, insurance, housing and transportation of
all
and nonemployees during the period of their stay in the country;
Guarantee the repatriation of its employees of nonnationality, their dependants
and personal effects, upon completion of their tours of duty in
.
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RESPONSIBILITIES OF THE GOVERNMENT
In recognition of the beneficial and voluntary nature of CARE’s offer to cooperate with
the government and people of
, The Government agrees to:
Authorise CARE to appoint, from time to time, such staff of
or nonnationality, and to establish office(s) in
or such other locations, as CARE
may deem appropriate. The office(s) shall be managed by one or more
representatives who are duly authorised to fulfil, on behalf of CARE, the functions
described in this Agreement and subsequent project agreements. Nonemployees of CARE and their dependants are exempted from the restrictions,
conditions and fees related to the registration of foreigners, working permits,
residence permits, and other matters relating to health regulations, and shall
receive multiple-entry and exit visas for the duration of their assignment with
CARE in
;
Repatriation of International Personnel: In case of international or internal crisis, the
Government shall grant CARE’s international staff and their dependants the
same facilities for repatriation as are accorded personnel from United National
agencies;
Admit the import and permit the re-export of, project materials, office equipment and
supplies for CARE’s official use, and the personal and household effects,
equipment, vehicle and supplies of CARE’s international staff members, free of
all restrictions, duties, taxes and fees (including those for import, export and
consular services). Project materials includes any and all commodities, food,
medical supplies, equipment, heavy and light vehicles, materials and other
property used, owned or acquired by CARE or in its possession in support of
programme activities, or for distribution to the people of
;
Levy no taxes, duties, fees or restrictions (including without limitation, income, property,
capital, employment, sales, value added tax, and excise taxes) upon;
Project materials belonging to CARE and/or any organisation distributing same
on behalf of CARE, or the ultimate recipients; or
fuel; and absolve CARE from all other sales and excise taxes, and all other fees
incurred in the process of implementing CARE programme activities;
CARE, its assets, property, receipts or operations, or the salaries, allowances or
other remuneration for personal services paid by CARE to its personnel of
nonnationality;
other assets of CARE personnel of non-
nationality;
Provide, whenever appropriate, possible and requested by CARE, and without charge,
effective protection against theft, for CARE’s personnel, property and materials;
Authorise CARE to label Project Materials in such a way as it may deem appropriate in
order to indicate their source and method of use, and assure that such labels will
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not be removed or defaced, or added to it in any manner without prior approval of
CARE;
Support
Provide or cause to be provided without cost to CARE, facilities and personnel for
the unloading, handling, transporting and warehousing of commodities and
other project materials provided by CARE, and grant them priority in
handling, transporting and warehousing appropriate to their intended use in
development, relief and rehabilitation for the people of
;
As required make available to CARE through grant, lease or sale such office,
warehousing and other space and/or other facilities as may be necessary
for CARE’s operations in
, and as may be appropriate and
necessary, suitable accommodations for housing CARE personnel of nonnationality and their dependants;
Provide appropriate credentials to CARE staff, and where appropriate facilitate
their travel for official purposes exempt of all fees and other charges;
Currency
As appropriate and indicated by specific project agreements, provide CARE with
funds with which to complement resources obtained from external sources
in support of projects activities in
;
Enable CARE to exchange currency of
; at rates of exchange at least as
favourable as those accorded foreign governments, and to remit funds
internationally without restriction for the purposes of covering costs incurred
outside of
in support of project activities;
Allow CARE and its personnel of nonnationality to open, maintain and
operate foreign currency bank accounts for funds originating from external
sources. The balance of such accounts shall be freely transferable into any
currency at the most favourable rate of exchange;
Government Action
Agree to hold CARE free from expropriation and that neither it nor any person nor
entity subject to its direction and control will use or distribute any project
materials that are intended for distribution to the people of
other than
as intended pursuant to project agreements. CARE will retain title to
project materials until their distribution to the ultimate intended recipients;
Treat project materials as supplementary resources, and not as a substitute for
any public allocation, and not to diminish normal Government budgetary
provisions by reason of such commodities or project materials.
ADDITIONAL AGREEMENTS
Agreements concluded with one or more ministries or agencies of the Government will
be binding upon the Government. Such Agreements will be supplementary to this
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Basic Agreement, and the terms of this Agreement will be incorporated by reference
therein. Each such Agreement shall define the responsibilities of the parties thereto.
EFFECTIVE DATE
This Agreement shall be effective upon signing by both parties.
DISPUTES
The Government and CARE agree to negotiate in good faith to resolve any dispute
arising from the interpretation or implementation of this Agreement. In the event that
the dispute cannot be resolved, then it shall be settled by mediation, such that each
party hereto shall select one mediator who in turn shall select a third. The majority vote
of the mediators shall constitute a binding decision that may not be appealed. Costs
pertaining to the process to be shared equally between the concerned parties.
AMENDMENTS
This Agreement may be modified with the prior written agreement between the parties
hereto. Any relevant matter for which no provision is made in this Agreement shall be
settled by the parties in keeping with the general intent of voluntary cooperation and
assistance subject of this Agreement.
TERMINATION
Either party may terminate this Agreement upon one hundred and twenty (120) days
prior written notice to the other party. In the event of war, hostilities or other grave
public emergency, CARE may terminate performance of its obligations under this
Agreement, and any or all related agreements forthwith without prior notice, to the
extent and at such times as it may deem necessary to ensure the safety of CARE
personnel and property.
AGREEMENT LANGUAGE
This Agreement is drawn up in
and English and both versions shall be equally
valid. In the event of a discrepancy in meaning between the
and English
versions, the English version will prevail.
FOR THE GOVERNMENT:
INTERNATIONAL:
(name & title)
Date: ............................. 20
20
FOR
CARE
(name & title)
Date:
...............................
Page 108
Section 6 – Definitions, Roles & Responsibilities
Section 6 - Definitions,
Roles & Responsibilities
Approved June 2011
Page 109
Section 8 – Emergency Response Coordination
CARE International Board Policy Pertaining to the
Definitions, Roles and Responsibilities of
Lead Member, Developing Country Member, Country Office
and CARE Member Partner
This policy contains specific definitions and Responsibilities of a Lead
Member, CARE Member Partner Country Office, Developing Country Member
and Affiliate Member in the areas of:
A.
Maintenance of CARE’s Presence and Representation of CARE’s
Interests;
B.
Securing Donor Funding and Decentralized Donor Decision Making
C.
Programme Planning and Management;
D.
Country Office Management;
E.
Other Roles and Responsibilities;
I.
DEFINITIONS
A.
LEAD MEMBER (LM)
A Lead Member is the National Member CARE which is designated by CARE
International as having the ultimate responsibility and authority for the work of
CARE International in a given host country where CARE implements its
emergency, recovery and development programs. The LM is responsible for
coherent multi-year planning, project supervision and provision of necessary
logistical and administrative backstopping. For this purpose the LM
establishes a country office with representation led by a Country Director
(CD). 8
B.
CARE MEMBER PARTNER (CMP) 9
A CARE Member Partner is any National Member of CARE International
which provides support to a particular CO primarily by participating in one or
more program or project activities.
A CMP is a Member which has not been designated as the LM in the particular
country in which they are participating in such activities. In this CARE
International Code, CMP refers to both CARE Members who are not LM in any
CARE country as well as those that are LM elsewhere but not in the country in
question.
C.
COUNTRY OFFICE (CO)
A Country Office is the in-country implementing presence representing CARE
International. Unless a Developing Country Member as defined below, a CO is
an entity that is legally registered with the local authorities as a branch of a
Lead Member, and has a signed Memorandum of Understanding (MOU) or
some other Basic Country Agreement with the appropriate local authorities. A
8
Lead Membership does not apply to cases of limited presence in a given country which have been established
and clearly defined as such in Section 4 of the CI Code (Country Presence). Those falling under limited presence
category and which have not been formally registered as a Developing Country Member (D above), require CI
Board Approval.
9
Previously referred to as either Non-Lead Member, Cooperating Member or Project Partner
Page 110
CO is either managed by a LM or is an independent entity within the CARE
International confederation, generally a Developing Country Member.
D.
DEVELOPING COUNTRY MEMBER (DCM)
A Developing Country Member functions as both a LM and a CO. DCMs may
also function as CMPs when participating in program or project activities in
another country.
E.
AFFILITATE MEMBER(AM)
Affiliate Membership is considered as a transitional step towards full membership of
CARE International. Affiliate Membership is distinguished from full membership
through a conditioning of their membership rights and responsibilities 10.
II.
SPECIFIC ROLES AND RESPONSIBILITIES OF THE LEAD
MEMBER, THE DEVELOPING COUNTRY MEMBER, THE COUNTRY
DIRECTOR AND CARE MEMBER PARTNERS 11.
A.
MAINTENANCE OF CARE’S PRESENCE AND REPRESENTATION
OF CARE’S INTERESTS
1.
Basic Country Agreement
Unless such an agreement is already in place, the LM, represented by the CD,
will have the responsibility for negotiating a Basic Country Agreement (BCA)
with the Host government on behalf of CARE International and for undertaking
periodic reviews and renewals of such an agreement. Though they may vary
by location, the model for such agreements is available upon request from CI.
Copies of all such agreements will be filed with the CARE International
Secretariat. For details, see CARE International Code Document “CARE
International Country Presence”. In the case of launching an emergency
response in a country where no BCA is in place, the designated Lead Member
must obtain approval from the host government or operate under the umbrella
of the UN prior to initiating any operations
Any CARE Member may obtain a copy of the Basic Country Agreement for any
country upon request to the LM, the Secretariat or concerned CO. Any
questions regarding the terms or status of such agreements may be directed by
any CARE Member to the concerned CO or LM.
2.
Representation vis-à-vis Host Government
The LM is responsible for advising and overseeing the CD, who represents
CARE International in all matters vis-à-vis the host government. The CD/LM
are responsible for informing CARE International Members and the Secretariat
of any significant developments in host government relations or policies that
may have an impact on CARE operations.
All CARE Members will channel any communications with the Host Government
through the CD, CARE's ultimate in country and accountable authority. All
negotiations with the host government will be undertaken by the CO, but CMPs
can ask to be associated in such negotiations or may advise the CO on the
10
11
Refer section 03-2 CARE International Code Affiliate Membership (approved June 2010)
Operational functions and standards expected of a CO operating platform to be incorporated when approved
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terms of project agreements pertaining to program/projects that they are
supporting. All Members have the right to be informed on request to the LM or
the CO concerning host country conditions of operation.
3.
Representation vis-à-vis Donors and Embassies
CARE Members should endeavour, where possible, to help COs obtain funding
from various donors within the geographic location of the Members, including
governmental, foundations, institutional donors, the public, and others.
Each CARE Member (i.e. LMs and CMPs) serves as the primary direct contact
with the home office of its own donor(s) interested in working with any CARE
CO. In the case of emergency donors, CI Members should coordinate to ensure
only one CARE Member is designated as CI representative for a particular CO.
The CO and LM liaise with CMPs concerning any issues related to the donors
of those Members. Each CMP advises the CO on negotiations with the local
representatives of its donors. CARE Members retain the authority to sign
agreements with its donors, once agreed by the concerned CO, or may authorise
in writing the CO to do so on its behalf. All CARE Members will use the CO as
their representative and channel for communications with the in country donor
representative. However, each CMP serves as the authorised channel for all
assistance provided by its government or other national donors.
4.
Representation vis-à-vis Multilaterals
CARE’s global relationship with multilateral donors rests with the Secretariat
which provides a coordinating function, unless this role is otherwise delegated
by the Secretariat.
Relations and funding agreements with multilaterals are normally entered into
by the LM or DCM with responsibility for the concerned CO. The LM generally
provides guidance and backstopping to the CO in this area which is
responsible for in-country relations with multilateral donors. The LM
undertakes direct liaison with the HQs of multilateral organisations concerning
issues of mutual interest. All LMs dealing with multilateral organizations
should keep the Secretariat informed on a regular basis of any developments
or issues that may impact the membership as a whole.
In cases where a CARE Member has proven expertise in any given area and
has demonstrated a significant investment towards generating new
programming for CARE, in that area the LM may authorise this CMP to
undertake direct liaison and other activities with the multilateral on its behalf
and that of the CO.
5.
Representation vis-à-vis the European Commission
CARE’s global relationship with the European Union (EU) and its donor
agency, the European Commission (EC), remains with the Secretariat.
Relations with the EU Delegations at the individual country level will be
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developed and maintained by the CO. With the support of CARE European
members, COs are encouraged to undertake relevant donor development
activities.
Funding agreements with the European Commission are normally entered into
by an European CARE International Member or a DCM, in agreement with the
concerned CO/DCM. The Secretariat facilitates the coordination of EC
funding applications within CARE European Members.
It is the particular responsibility of European CARE members to provide full
support to CARE International COs in following up viable project funding
identified by the CO from the EU. However, COs that are not legally registered
as DCMs, should not apply on their own either as the main applicant nor as the
partner under EC funding, nor should they be registered in the EU registers or
databases enabling them to apply for funding opportunities. Other forms of
country presence which are not yet fully-fledged local entities eligible for EC
funding should not apply either. European CAREs should, as far as practicable,
pursue EC project funding opportunities identified by other CAREs.
For support of development programming, if the LM is not a European CARE,
the CD liaises with a European CARE directly or through the Secretariat
concerning any EC funding and issues of mutual interest. In emergencies,
approaches will be made through ECHO Framework Partners. Existing
European coordination mechanisms, for both emergency and development
funding, should be taken into account.
6.
General
All CARE Members are entitled to have access to CO facilities and have their
interests represented by the CO. All CMPs are required to work through the CO
for any work that they undertake in that country, and provide reasonable and
justifiable shared program costs to the CO.
The LM is responsible for ensuring that adequate access to CO facilities and
CARE International services are provided to all CARE International Members.
B.
SECURING DONOR FUNDING AND DECENTRALIZED DONOR
DECISION MAKING
CMPs, DCMs and COs will act cooperatively and in a mutually supportive
fashion to mobilise and manage resources in order to maximise impact on
poverty and social injustice.
When an in-country donor delegation seeks to fund a CO/DCM directly, the
CO/DCM will immediately inform the appropriate CMP (or LM or the
Secretariat), as applicable. In many cases, the CMP will have an alreadyestablished relationship with the CO/DCM, and a mutual understanding will
exist as to the role and value-add of the CMP in the development and
implementation of donor funding contracts. However, it is important that this
Page 113
understanding be confirmed in writing before entering into more detailed
negotiations with the donor.
The CO/DCM and CMP Members are
encouraged to utilize the pre-IPIA mechanism as a means of planning for and
establishing an agreement on how the in-country funding will be pursued by all
parties.
The CO/DCM and CMP will then work together with the donor in order to
secure the available funding. If at all possible, the ensuing funding agreement
should be entered into by the CMP. If the donor excludes the possibility, the
CO/DCM may enter into the funding agreement on behalf of the CMP, based
upon a formal written delegation of authority from the CMP. If the donor
excludes the possibility, and if the CMP does not wish the CO/DCM to enter
into the funding agreement on its behalf, the DCM may enter into the funding
agreement or the CO may, if possible, enter into the funding agreement on
behalf of the LM.
It is important to note that the CO cannot enter into any funding agreement in
its own legal right without authorization from either the CMP or the LM. All COlevel funding agreements in CARE are entered into by either the CMP or the
LM. As independent legal entities, a DCM may enter into any agreement or
relationship that they choose, consistent with the CARE International Code. A
CMP may prevent CO/DCM access to a funding opportunity from its
governmental donors associated with that CMP if it is able to demonstrate that
doing so would involve significant reputational or other risk for the CMP. In the
event that a CO/DCM desires to enter into a funding relation with a donor
against the wishes of a CMP and the two are unable to reach an agreement,
either party may seek a resolution through the CARE International dispute
resolution process.
In all cases, the CMP and/or CO/DCM will strive to include indirect cost
recovery (ICR) in the funding agreement budget and any direct CMP/LM/DCM
costs attributable to implementation of the funding agreement. In all cases the
ICR will accrue to the contract holder (either the CMP or the LM/DCM). When
ICR is unavailable, then direct charging to the funding agreement budget will
be the only way for the CMP/LM/DCM to meet costs arising from its role as
contract holder.
In all cases the CMP/LM will strive to ensure that the funding agreement
budget is able to make a reasonable and proportionate contribution to the CO
operational costs (shared program costs) based on applicable LM policies. It is
incumbent on both the CMP and CO to ensure that the quality of any
submission is sufficient. A final decision to proceed should be reached by
both parties. If the CMP/LM agrees to pursue the funding, and if there is a
budget shortfall, the CMP/LM will make good any shortfall from other funding
sources.
C.
PROGRAMME PLANNING AND MANAGEMENT
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1.
Programme Planning
The LM and CD are responsible for appropriate multi-year strategic
programme planning as well as Emergency Preparedness Plans (EPPs) 12 in
accordance with CARE International and applicable CARE Member guidelines
and for ensuring that such plans are kept current.
CARE International Members should have the opportunity to participate in or
to contribute to the elaboration of such plans. Any CARE Member interested in
a particular country should indicate its interest to the concerned CO or LM. Such
participation may take a variety of forms depending on the degree of Member
interest and the level of time, effort and resources they wish to commit. All
interested Members should have the opportunity to review and comment on the
programme plan (including EPP) of any CO. Likewise the CMP should invite
the participation of the CO in major strategic planning exercises.
The LM approves CO plans and shares a copy of CO Strategic Plans and
EPPs with the Secretariat.
Any CARE Member may, upon request, obtain a copy of the most current CO
strategic and EPP plan either directly from the CO or from the LM.
Under certain circumstances, such as highly unstable conditions or low levels
of project activities, the LM may opt to undertake shorter-term or less formal
planning processes than would normally apply. For example, in cases of high
levels of political and economic crisis, six month or one year contingency
planning may be all that is feasible.
By virtue of the unstable nature of many countries where CARE operates,
Country Offices, with support from the Lead Member and CEG, are expected
to take quick and decisive actions to ensure the overall readiness of CARE for
a potential emergency response. These actions are to be based on CO
emergency preparedness plans (EPPs), which should be adjusted as
necessary to the operating environment.
12
See following section on ‘emergency specific programming’ and EPP chapter of CET:
http://www.careemergencytoolkit.org/emergency-preparedness-planning/
Page 115
2.
Emergency Planning & Preparedness
The LM is responsible for ensuring that COs undertake appropriate
emergency preparedness initiatives and prepare Emergency Preparedness
Plans (EPPs). The LM will work with CEG to ensure that the CO has the
necessary technical assistance in this regard and will follow the CI EPP
Guidelines in the CARE Emergency Toolkit (CET). The CO EPP should be
referred to when designing and implementing any new projects/programs to
ensure risk scenarios are adequately considered.
CEG is responsible to coordinate regional emergency preparedness plans
(EPPs) and individual CI Members are responsible for ensuring CI Member
EPPs are in place and regularly updated.
Any CARE Member may request information from the CO or LM concerning
emergency preparedness activities and may obtain a copy of any Emergency
Preparedness Plans which have been prepared. Any Members interested in
contributing to such activities in any particular country may do so upon request to
the CO or the LM.
3.
Program/Project 13 Development, Implementation, Management and
Evaluation
The CMP and the CO shall co-operate with each other in the design,
implementation, monitoring and evaluation of all projects, and the
administration of funding contracts. Each shall accommodate the other’s
reasonable requests for administrative or logistical assistance, reports or other
requests for assistance. They will keep each other informed, and consult with
each other, regarding any matter of which they are aware that may materially
affect the CMP’s project. The CMP and CO should work together to
determine responsibilities for any proposal submission and achievable
timescales against which progress and corrective action can be taken. The
CMP must have prior authorization from the CO before any contract or
agreement is entered into between the CMP and a Donor for any activities in
the relevant CO.
a)
Project Identification, Development & Design
Any CARE Member may pursue new programme initiatives that fall within a
CO’s approved plan working directly with that CO and through the CD.
For projects funded exclusively or partially by the LM, the LM supports the
CO’s project design work in accordance with CARE International programme
principles and standards. The CD and the LM (when appropriate) will facilitate
the involvement of other CARE Members in the development and co-funding
13
In the interests of brevity the term “Project” has been used instead of Program/Project i.e. “Project” may also be
taken to include reference to “Program” as appropriate throughout the Code, including those projects pooled
together under the ‘program approach’. (Ref. CI Code Section 12-5 – Rationale and Definition for Program
Approaches Throughout CARE International. The term ‘program’ also refers to emergency, recovery and
development programs.
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of projects in which they have an interest.
Project initiatives of any CARE Member that fall outside the approved plan
may be pursued further by the Member only with the concurrence of the CD
and LM. It is recommended that the interested CMP must consult with the CO
and LM as to the pros and cons of such initiatives. Discussion over such
initiatives will take into consideration:
• the project's adherence to CARE's overall programming principles and
Humanitarian Mandate;
• the strategic importance of the project for the CARE Member and/or their
national donor;
• the Member's acquired expertise within the project’s proposed area and its
success in similar projects elsewhere;
• whether the initiative would, in fact, result in negative programme implications
for the CO.
CARE Members should keep the CO and concerned LMs aware of funding
opportunities. Any CARE International Member which feels that a CO is not
open to pursuing legitimate new programme opportunities may appeal to the
LM and subsequently to the Secretariat if necessary.
Unless otherwise agreed between the LM/CO and CMP, the primary
responsibility for the following project development areas (pre-contract
signing) are:
•
Scheduling of key project development processes and steps - – CMP
(once approved by CO)
•
Preparation of Narrative Proposal and Budget according to donor
guidelines and formats – CMP (in consultation with the CO)
•
Submission to Donor of Narrative Proposal and Budget – CMP (once
approved by the CD)
•
Negotiation with Donor of Narrative Proposal and Budget – CMP (in
consultation with CO)
•
Approvals of Contract – CMP (once approved by CO)
CMPs and COs/LMs are strongly encouraged to engage in the signing of preIPIAs at the start of the project development process to ascertain and agree
upon roles and responsibilities and to set clear responsibilities and timelines
prior to submission.
b)
Provision of Technical Assistance
The LM is responsible for ensuring that each of its COs has access to
adequate, appropriate and timely technical assistance services to maintain the
quality of its programme portfolio. However, any CARE Member may develop
technical capabilities and offer technical assistance services to COs or other
CARE Members.
CMPs should be consulted on matters related to the provision of technical
assistance to projects which they support. They may, upon consultation with the
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CO, choose to directly provide technical assistance to their projects. Unless
funded by the CMP, this assistance must be part of the proposal/budget.
c)
Project Implementation and Management
The LM is accountable for providing oversight and monitoring and the CO is
accountable for the quality of CO project management and for project
deliverables. The CD is accountable for ensuring quality standards in
reporting to CMP. The CO may as necessary sign project agreements with the
host government, with the approval of the LM and the CMP, if applicable. The
LM should be kept advised by the CO of significant discussions with the CMP
regarding in-country program interests.
A CMP wishing to fund and post a position in the CO for its activities may do so
by separate written agreement in consultation and approval with the CD and/or
LM. Such positions must be approved by the host government for working visa
purposes. Such staff will be employed by the CMP or the LM and subject to
oversight by the CD.
The CO will be responsible for preparing work plans as stipulated in each
Project Proposal and Funding Contract and for the daily supervision of project
activities. All projects shall be implemented as outlined in the Project Proposal.
Project funds will be used exclusively for activities outlined in the Project
Proposal and the respective budget. LMs, COs and CMPs will keep each
other fully informed concerning any developments which may necessitate any
significant changes in project design, particularly changes in a project’s goals
and objectives, activities, the implementation schedule, or the allocation of
funds.
In view of the fact that a revision to the Funding Contract likely will affect a
project, if the Funding Contract must be amended, the CMP shall provide a
copy of any such amendment to the CO prior to execution, and shall obtain
written approval of such amendment from the CO before signing the
amendment with the Donor.
The CMP will keep the CO informed in a timely manner of all significant
changes to Donor regulations, such as those that are applicable to a current
project. The CMP shall promptly provide the CO with all written
documentation in English or if available in the working language of the CO
regarding such regulations that it may reasonably request.
The parties will keep each other informed of significant developments within
their offices, operations, or operating environment (including natural or humanmade risks and hazards) that may have an impact upon the activities of each
project. This includes non-compliance with donor requirements as defined by
any donor agreement or external events that may create significant changes
or delays to projects activities. The CMP and the CO will share with each
other all appropriate communications concerning significant business aspects
of each project.
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d)
Monitoring and Reporting
The LM is responsible for ensuring that the CO has adequate project
monitoring and reporting systems in place. The LM itself should undertake
regular monitoring visits to the CO and its projects or otherwise provide
appropriate management oversight.
In addition to monitoring, the LM is accountable for the CO’s timely
preparation of regular reports on all projects corresponding to donor
requirements. CMPs will advise the CO of all donor regulations and reporting
requirements. The CO is then required to prepare such reports in keeping with
these donor requirements.
CMPs may directly monitor CO performance in the management of projects
which they support and must share their observations with both the CO and LM
for action. CMPs must share advice and instructions to the CD concerning these
projects.
The CMP should make periodic visits to the CO and participate in the
monitoring and evaluation of each project during the course of a project’s life.
The CMP may occasionally modify this schedule (e.g. undertake additional
monitoring visits), upon providing reasonable notice to the CO. The purpose
of such visits will be to monitor and evaluate project progress to date, review
the financial reporting, and provide technical support where needed. The
CMP in consultation with the CO will prepare and agree to a set of Terms of
Reference prior to these review visits. The costs of these visits will be
covered by the project budgets or as otherwise agreed in the IPIA.
To the extent possible, IPIAs will specify the exact schedule and formats of
required reports. For example, project reports generally review progress
made towards accomplishment of project objectives, activities and results
achieved as defined in the Funding Contract, and the financial report(s) shall
review expenditures made against the planned budget. Reports may also
explain or justify major deviations from the approved plan.
The CO will monitor all sub grants managed as part of its project with a CMP.
It will ensure satisfactory performance of objectives and compliance with the
terms and conditions of the sub grant and will work in cooperation with the
CMP in the monitoring of these programs. The CO may enter into contracts
with vendors and service providers as required to conduct its normal
operations and on customary business terms, usually without the specific
consent of the Donor but using practices and procurement guidelines that are
consistent with donor requirements.
The CO will keep all in-country, local Donor representatives informed of
project progress and any significant developments through periodic visits as
agreed with the CMP. The CO will invite and host (pending acceptance) local
Donor representative visits to each project. The CO is encouraged to share
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project documents and other information with local Donor representatives to
keep the Donor informed of project developments. However, all project
progress and final reports and project strategy-related information are
expected to be reviewed and approved by the CMP prior to sharing with the
Donor, including financial reports. Any information officially shared with local
Donor representatives shall be done so under cover of a letter approved by
and with a copy to the CMP.
e)
Evaluation
The CMP and CO are jointly responsible for ensuring that CO projects are
regularly evaluated in accordance with the work plan and the schedule
documented in the IPIA, and that donor and CMP requirements in this regard
are met. For type two and three emergency responses, final evaluations are
required in addition to an After Action Review (AAR). The CARE Emergency
Group (CEG) coordinates these with the CO and LM. The LM and CO must
maintain appropriate files of project evaluations and make reports available to
the Secretariat or other CARE International Members upon request.
Any CMP may initiate an evaluation of any project which it supports with the
agreement of the CO. Such evaluations may be undertaken independently or in
conjunction with the concerned LM. Unless otherwise agreed by the parties, the
CMP must make its evaluation requirements, or those of its donors, known to the
CO in advance and project budgets must adequately provide for such costs.
f)
Project Completion
COs, CMPs, and LMs will cooperate to ensure orderly closeout of projects.
CMPs will ensure that COs are aware of any donor specific project completion
requirements (e.g. disposal of project assets).
The final benefactor of project assets at a project’s termination will be as
specified in the original donor agreement or according to donor regulations
unless modified by a subsequent written agreement between the CO, the
CARE International Member and the Donor.
g)
Knowledge Management – Sharing of Project Information
The LM, CO and CMP shall agree on the manner in which each project shall
be publicly acknowledged.
The CO shall , within reasonable limits, provide the CMP with written and
other types of materials to facilitate the promotion of each project, the CO
programs and the country itself. These may include human-interest stories,
information on local conditions, and reports on civil conflict or disasters.
h)
Record Retention
CMPs, LMs and COs will ensure that documenting and sharing of project and
other CO program information is consistent with record retention policies of
the CMP, LM and applicable donor or legal requirements, and will also
consider applicable CARE International knowledge management protocols
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and systems. These document retention provisions may be modified upon
completion of a CI policy on document retention.
Complete and accurate books and records and all originals of supporting
documents relating to projects will be held in their offices of origin be they the
CO headquarters, the CMP headquarters, the LM headquarters or other. If
the CO closes, supporting documentation is to be maintained by the
respective LM for the period as agreed between the CO, LM and CMP,
consistent with donor requirements and applicable law. When the CO is
operating in a potentially volatile environment, the LM and CMP will work
together to mitigate the loss of any paperwork and/or repatriate/copy
paperwork.
4.
Emergency-Specific Programming
a)
Planning and Preparedness
The LM is accountable for the emergency preparedness and preparation of
Emergency Preparedness Plans (EPPs). The LM with work with CEG to
provide the CO the necessary technical assistance.
Any CARE Member may request information from the CO or LM concerning
emergency preparedness activities and may obtain a copy of any Emergency
Preparedness Plans which have been prepared. Any Members interested in
contributing to such activities in any particular country may do so upon request to
the CO or the LM.
b)
Assessments
Any Country Office or CARE Member having information on a developing
emergency (rapid or slow onset) situation should inform CEG immediately
through an Emergency Alert, which will be disseminated to ERWG (Emergency
Response Working Group) and Emergency Information network
In countries where CARE already has a presence, it is the responsibility of the
CO to carry out (ideally coordinated with other actors) an emergency
assessment. In type 1 (small scale and severity) emergencies, it is expected
that the COs can manage assessments themselves however support can be
extended from the LM and CEG upon request. In type 2 (major scale and/or
severity) emergencies, support for assessments may be provided by CARE
International under the leadership of the crisis coordination group (CCG)including CEG and the Lead Member. In type 3 emergencies (non-presence
situations), assessments will be coordinated by CEG and the designated LM.
The cost of assessments in countries where CARE has a presence should be
covered by the CO or DCM. Emergency response funds from CARE
International (CI-ERF) or Lead Members may be requested to cover initial
assessment costs but efforts should be made to recover the costs from
existing donor funding whenever possible.
c)
Emergency Response
The CO is responsible for carrying out emergency responses that follow
CARE policies, procedures and standards (see CARE Emergency Toolkit) .
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The Lead Member acts for CARE as the CO's line manager. It is responsible
for making sure the emergency response meets CARE standards.
CAREs Emergency Group (CEG) coordinates and oversees emergency
responses on behalf of CI Members. CEG is part of the CI secretariat
in Geneva, and it has Regional Emergency Coordinators in the field. It can
provide support from Geneva or help directly with operations in the field.
CEG's role in an emergency includes:
•
coordinating decision-making about the response
•
advising the Lead Member and the CO on managing
response operations, logistics, quality and accountability, HR, media and
information, advocacy and fundraising
•
helping CARE members coordinate their contributions
The CCG (Crisis Coordination Group) is a group of senior managers that
forms at the start of an emergency to make decisions and manage the
response at a high level.
The CCG reviews the type and scale of the emergency and the security
situation. It agrees on the CARE emergency type and decides whether and
how CARE will respond and what support the CO needs. During the response
the CO and Lead Member should refer any other critical decisions to CCG. If
CCG members cannot agree on something, the CI Humanitarian Director (HD)
can make the decision or refer it to the CI Secretary General.
It is the responsibility of the CO, with support from the LM and CEG to ensure
that an overall emergency response strategy is clearly established, articulated
and communicated to all interested CARE International Members consistent
with the processes and protocols established in the CARE International
Emergency Toolkit ( Policy & Management Framework/Emergency
Management Protocols). CEGs Head of Emergency Operations is the earliest
focal point in this regard who will review the strategy with the CO and facilitate
broader distribution to CARE international via the Emergency Response
Working Group (ERWG) and the Communications Working Group (COMWG).
Once the strategy has been agreed upon between the Head of Emergency
Operations, the LM and the CO, the CO will share the strategy with key
external stakeholders, including the host government, donors, CARE’s
partners and peer NGOs.
The LM provides the necessary support to COs engaged in emergency
response and coordinates administrative and financial functions on behalf of
other Members and in cooperation with CEG.
d)
Emergency Personnel Mobilization
During the start-up of emergencies, COs should rapidly assess their staffing
needs and capacities, and identify gaps. Emergency human resources
management systems should be activated in the CO to enable effective and
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timely staff recruitment. The CO is responsible to coordinate mobilization and
recruitment of personnel at the CO level, and develop and implement HR
policies and procedures. The CD maintains approval authority for the
appointment of personnel and HR policies. The LM HR Unit maintains primary
support role to CO in recruiting international staff and provides guidance to CO
on HR policy and processes. The CI CEG Emergency HR Coordinator
coordinates human resource mobilization for emergencies at the CARE
International level. For more details on roles & responsibilities of CI Members
in rapid recruitment of international staff see CET HR Chapter
23: http://www.careemergencytoolkit.org/human-resources/#a036
If the CO needs additional capacity, it can request staffing support from the
Roster for Emergency Deployment (RED) through the Lead Member Human
Resources Department and the CI Emergency Group (CEG) HR Coordinator.
e)
Non-presence country emergency response operations
In order for CARE to respond in a non-presence country, a CARE Member
must be willing to assume LM/temporary coordinator status prior to any
implementing response. The CI Secretary General appoints this
coordinator as soon as possible (in consultation with the CI Humanitarian
Director and CI Executive Committee). CEG and the Lead
Member/coordinator manage the first steps in a type 3 (non-presence)
response.
f)
Cross Border Operations
In the event that conditions require that all or part of the operations of one of
its COs be based in another country, the LM will advise CARE International to
this effect. A LM whose CO needs to fully or partially operate an emergency
programme from a neighbouring country where another Member is LM will
seek the agreement of that Member to operate there and will closely
coordinate action with that Member. Any disputes which the concerned
Members cannot resolve will be referred promptly to the Secretariat.
g)
In large scale (type 2 or 3) emergencies, or where the CO and LM do not have
the full range of management capacity to support emergency operations, CEG
will coordinate with other Members to seek funding and provide
complementary/supportive services and staff. The LM reserves the right to
submit any proposals to multilateral sources.
Proposals to the EU must be channelled through a European CARE/ECHO
Framework Partner or through the Secretariat, taking into account existing
European coordination mechanisms. Any and all project proposals for unmet
relief needs should be shared with CARE International Members.
Any CARE Member may seek and provide emergency funds directly to the CO
in response to a disaster. CARE International Members are further encouraged
to seek and provide funding for subsequent rehabilitation and longer-term
development activities.
The LM makes sure CARE raises enough funds from private donors to
support the response. The LM and CI Members handle fundraising appeals.
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CEG assists the CO and LM by coordinating the mobilisation of financial and
human resources across CI in any type two or three emergency in order to
react in a timely and appropriate manner. CEG manages and approves
allocations of the CI ERF (emergency response fund) on behalf of all CI
members. Funds are available for use by all COs and may be used in any
country where CARE is present, plus in predetermined non-presence
countries to support start-up and assessment during the first three months of
response according to CI ERF policies and procedures.
h)
Communications, Media and Advocacy
Country Offices, CARE International Members and the CI Emergency Group
(CEG) are responsible for ensuring that effective communications and media
management mechanisms are established for all significant emergency
responses. It is critical for mobilising public support, fundraising, and for
protecting CARE's image from distortion and misinterpretation.
The LM is the CO's first line of support on media and information issues (with
the COMWG and the CI Media and Communications Coordinator - MCC). The
LM must ensure the timely provision of information and communication materials
on rapid or slow-onset emergencies to other CARE Members and the Secretariat
The LM is responsible for ensuring that a senior CO staff person is designated
as Media Focal Point in emergency situations and arranging for the
deployment of an Emergency Media Officer and photographer if necessary. If
needed, CEG provides support to the LM with identification of deployable
personnel. The LM helps put together key advocacy messages and is
responsible for ensuring all communications materials and advocacy initiatives
are approved according to CARE International’s approval procedures for
communications/advocacy and for sharing such material within the CARE
confederation, respecting the need for speed, particularly in rapid onset
emergencies.
All CARE Members are entitled to receive regular and timely information on
emergency situations from the concerned CO or LM. CI’s Media and
Communications Coordinator (MCC) works with the CO and LM to inform
COMWG and ERWG of the emergency and share all available information.
Any CARE Member wishing to arrange a media visit should give the CO
advance notice as to its requirements and obtain approval from the CO (ALL
visits are at the discretion of the CD). This should be coordinated with the CI
MCC. When in country, such media teams operate under the CD or the
designated Emergency Media Officer for the CO. All CARE Members wishing to
create new communications materials and engage in advocacy initiatives must
follow CARE International’s approval procedures and sign off protocols for
communications/advocacy as per Sections 9 and 11 of the CI Code.
D.
COUNTRY OFFICE MANAGEMENT
1.
Management Of Costs
a)
CO “Organizational Capital”:
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CO organizational capital and growth is an interest held in common by all
CARE International Members. In taking on the management of a CO on behalf
of CARE International, the LM assumes responsibility for maintaining and
investing in the organizational capital of the CO 14. This includes providing
unrestricted funds for Long Range Strategic Plans (LRSPs) and high level
program strategies, program quality and impact management, emergency
preparedness planning and internal investment in such items as staff training
and capacity development. A CMP working with a given CO/DCM will seek
ways to contribute towards the development of the organizational capital of the
CO/DCM such as incorporation of staff training and development costs in
project budgets as well as contributions of unrestricted or flexible funds to the
degree possible.
b)
CO Operating Costs:
CO/DCM operating costs are those that are required to support the
management and implementation of CARE’s ongoing programme and project
activities in the country. CO/DCM operating costs will be transparent and
covered by reasonable and proportionate contributions from all project
budgets. Each CMP supporting project activities in a CO is responsible for
paying a reasonable and equitable share of such costs in accordance with LM
policies.
The amount of such costs will be negotiated with the CO or the LM. It is the
responsibility of the CMP holding the donor contract to meet this contribution,
either from the project budget or from its own resources 15. If, once this
contribution is met, there is still a funding gap between the CO operating costs
and the total contributions received from project budgets it is the responsibility
of the LM to make all reasonable efforts to resolve the gap by providing
additional resources or reducing costs. The LM should ensure that the CO is
equitably allocating such costs for maximum impact on impact and
competitiveness.
If the CMP is unable to pay its share of such costs, it may request the LM
attempt to make alternative arrangements to fund them, if this is feasible,
although neither the CO nor the LM are under any obligation to make such
alternative arrangements.
c)
Project/Program Development Costs:
The cost of developing of projects and programs for presentation as funding
requests to donors should be covered by the CMP who will make the
submission to the donor. These costs will be agreed upon by the CMP and
CO/DCM prior to the development of the project or program. These costs will
generally not include expenses for existing CO/DCM or CMP personnel in the
costs of developing of projects and programs for presentation as funding
requests to donors, except as otherwise may be agreed by the parties. As the
development of new programs and projects is of mutual interest to the
14
15
Refer also clause D 3 a below
Refer also clause D 3 j below
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CO/DCM and CMP, where project development costs cannot be fully met by
the CMP, the CO/DCM and CMP will work cooperatively to find a solution.
d)
Cost Efficiencies
Outcomes of “EXCOM DEC #3 “Review of current cost management of
CARE’s CO operations” to be incorporated into this section in due course.
2.
Human Resources
a)
Appointment of Country Director (CD)
The CD is appointed by the LM, consistent with the criteria adopted by the
Board of CARE International and is subject to the approval of the host
government.
Any CARE Member is invited to make suggestions to the LM concerning the
appointment of a CD. All CARE Members, particularly those with programming
interests in a given CO, should be informed of proposed CD promotions and
appointments and be given the opportunity to make their views known to the LM.
b)
Other Staffing
The LM is responsible for reviewing or otherwise ensuring appropriate CO
staffing plans , including identification of adequate back up roles as per the
Emergency Preparedness Plan (EPP). The LM is also responsible for
coordinating the transfer and recruitment process to fill vacant international
staff positions.
All CARE Members should be periodically informed of vacant international CO
positions and they are encouraged to identify and nominate candidates for
consideration by the CO and LM. Candidates proposed by Members will be
given due consideration by the LM and the CO.
LM Recruitment of international project personnel (whether on transfer or new
recruits) for project-based staff positions will involve the relevant CMP and is
subject to approval by the CMP, the CO, and the host government as
specified in each Project Proposal and subject to Donor requirements, if any.
A CMP may choose to recruit and post qualified expatriate staff but must do so in
consultation and agreement with the CD, and is contingent upon host
government approval of a working visa and subject to a separate written
agreement between CMP, LM and the CO. Wherever possible, due
consideration and priority will be given to the hiring of local qualified and
experienced candidates of the CO host country. Salaries and benefits for
CMP and CO project staff will be paid out of the project funds as stipulated in
the Funding Contract.
c)
Personnel Management
The LM provides overall supervision of the CD on behalf of CARE
International. Any CARE Member dissatisfied with the performance of the CD
should make this known to the LM. In the event that the Member is not satisfied
with the response of the LM, it may refer the matter to the Secretariat for review.
The LM ensures that the CO has adequate Human Resource policies and
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procedures in place subject to LM policies and any agreement with host
government authorities, and that they are implemented accordingly; this
includes for emergency operations as well. The CO shall also maintain and
utilize a performance evaluation system pursuant to LM policies. The LM may
serve as the employer for some or all the CO expatriate staff; however, in
some cases, subject to a separate written agreement between CMP, LM and the
CO, the CMP may choose to assume responsibility as an employer for the
expatriate staff they fund. For expatriate staff for which the LM is the employer,
subject to input from the CO, the LM is responsible for decisions concerning
evaluations, merit increases, promotions, transfers and disciplinary actions.
For staff employed by other CARE International Members, the CD coordinates
these personnel actions with the employer of the individual(s) concerned. In
this case the relevant CI member is responsible for their recruitment,
employment contracts, the payment of applicable taxes, and any other
obligations relating to their employment and consistent with the CI Code.
The CO is responsible for the recruitment and management of all projectbased staff (subject to Donor requirements), other than the project personnel
approved and contracted by the CMP and the LM. During an
emergency, Country Offices undertaking rapid recruitment of national staff
must adapt normal recruitment procedures so that they allow the most rapid
process possible 16. All staff, management and operations of the project will be
fully integrated within the CO and under the direction of the CD.
The CO is responsible for the annual performance appraisal of the Project
Managers or the equivalent person/title responsible for the overall
management of a project at the CO, and will solicit input from the CMP.
Likewise, the LM is responsible for the annual performance appraisal of the
CD, and will solicit any input from the CMP(s).
3.
Finance, Compliance & Risk Management
a)
CO Overall Financial Needs and Cash Flow
The LM is responsible for ensuring the financial viability of the CO. The LM, in
consultation with the CD, facilitates the involvement of other CARE Members
in the development and funding of projects in which they have an interest.
Neither the CO, nor the CMP or the LM, are obliged to provide additional
funding for a specific project above and beyond that of the Funding Contract
16
CET Emergency HR Guidelines: http://www.careemergencytoolkit.org/human-resources/#a036
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budget to meet targets as long as expenditure is consistent with the Donor’s
expenditure guidelines. In special cases, the parties may agree in writing on
the provision of supplementary third party funding to a project
In the event of a delay or suspension of funds from the Donor, the CMP will
advise the CO immediately. The CO will in turn advise the CMP of the effect
of the delay on project activities. The CMP will express to the Donor the effect
of the delay and negotiate with the Donor to address the effects of the delay or
suspension (e.g., by extending the term of the Funding Contract or providing
additional funds to cover termination, hiring or training costs resulting from the
delay.)
Each project will have an IPIA which will clearly specify cash flow needs,
timing and responsibilities. The IPIA should be finalized within 14 working
days of signature on the donor contract.
Cash flow requests from the CO/DCM/LM to the CMP must be based on the
realistic requirements of the project as set forth in the IPIA and donor
regulations and practices. These must be submitted by the CO/DCM to the
CMP as specified in the IPIA (which spells out the frequency of expenditure,
reporting and cash flow)
It is the responsibility of the CMP to meet the project contract cash flow needs
agreed in the IPIA and contingent on project expenditure being maintained
against budgets, regardless of the timing of donor receipts. The CMP may use
its own reserves, borrow from the CARE International Revolving Fund, or
obtain other appropriate sources of cash flow to meet this obligation.
The CO/DCM is under no obligation to undertake project activities in the
absence of receipt of funds from the CMP. If a CMP fails to provide promised
funding for project activities, the LM may take such action as necessary to
terminate such activities.
Should the CMP wish the CO/DCM to initiate project activities, but is unable to
provide the cash flow as specified in the IPIA, the CO/DCM may agree to
proceed but is entitled to charge interest on any balance in excess of USD
50,000 receivable for a period greater than 30 days, at the rate being applied
by the CARE International Revolving Fund. Similarly, should the CMP fail to
provide agreed and required cash flow, the CO/DCM is entitled to charge
interest on any balance in excess of USD 50,000 receivable for a period
greater than 30 days at the rate being applied by the CARE International
Revolving Fund. The CO/DCM shall provide advance written notice to the
CMP in the event it desires to utilize the foregoing.
It is the responsibility of the CO/DCM to meet reporting deadlines as specified
in the IPIA and to ensure that all reporting obligations, including reporting
quality, related to the release of donor funds are met. Failure by a CO/DCM to
meet agreed reporting obligations may result in the CMP being unable to meet
cash flow requirements and would remove its obligation to do so.
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Any liability accruing to a CMP as a result of the failure by the CO/DCM to
meet agreed reporting obligations specified in the IPIA will be the
responsibility of the CO/DCM.
Should the CO/DCM wish to initiate project activities ahead of the cash flow
schedule contained in the IPIA and the receipt of donor funds, the CMP and
CO/ DCM should agree on a course of action although the CMP is under no
obligation to provide the required cash flow unless otherwise agreed.
Conversely, if in the absence of receipt of funds from a donor a CO/DCM has
received a cash flow advance from a CMP, but has been unable to spend
these funds within the period specified by the IPIA, or fails to complete
reporting to agreed deadlines during a period of post-financing, then any cost
of financing incurred by the CMP may be charged to the CO/DCM for unspent
balances in excess of USD 50,000 held by the CO/DCM for a period greater
than 30 days. The CMP shall provide advance written notice to the CO/DCM
in the event it desires to utilize the foregoing.
If at any time the CMP determines that that CO has received an overpayment
and the CO is unable to adequately justify the overpayment the CO will
promptly reimburse the CMP. The CO shall repay to the CMP amounts not
spent as part of the project agreements.
In all cases CMP and COs/DCMs will work together cooperatively and
transparently to ensure that project cash flow needs are met to the maximum
extent possible.
b)
Project Matches
In instances where donors require a matching contribution as part of a project
funding agreement the responsibility for providing such contribution lies with
the CMP. The CMP has the right to decide whether or not it will undertake any
project and may decide on the basis of matching fund requirement that it is
unable to do so. COs/ DCMs for their part are obliged to assist the CMP to
identify matching funds for the project in question but are not themselves
responsible for securing the funds unless otherwise agreed.
It is the responsibility of the CO/DCM to provide full information on the nature
of any sources of match in country and it is the responsibility of the CMP to
determine the eligibility of sources of matching funds.
Agreement on responsibility for matching funds will be specified in both the
Pre-IPIA and the IPIA and it is the obligation of the CMP and the CO/DCM to
fulfil the agreement specified in the IPIA unless otherwise amended.
If an identified and agreed in-country match for a project has been stopped by
the donor or otherwise delayed or unavailable for reasons beyond the control
of the CO/DCM, the CO/DCM must immediately inform the CMP and the CMP
and CO/DCM must work together to find an acceptable solution to the
situation.
Page 129
Subject to separate agreement with the appropriate CI Member, operational
CARE International Affiliate Members may access the fundraising potential of
diasporas in CARE International member countries, including for matching
funds. 17
c)
The LM is responsible for providing oversight of CO financial management
and identifying and resolving any financial management problems which arise.
The LM ensures that accurate and comprehensive CO accounts are
maintained. The LM also reviews and approves CO annual budget
submissions and subsequent revisions. The LM also monitors subsequent
expenditures against approved budgets. The LM resolves financial
management issues that arise between the CO and any other CARE Member.
The CMP must review and approve project budgets for funds which they furnish.
They are also entitled to monitor the management of those funds and the
expenditures against approved budgets. They may take up any concerns they
have directly with the CO. In the event that their concerns cannot be resolved in
this manner, the CMP should ask the LM to intervene to resolve the situation.
If necessary, the CO shall make adjustments to its direct costs to
accommodate an increase or decrease in the CMP’s Indirect Cost Recovery
(ICR/ADRET), and the program budget will be adjusted in writing accordingly.
In the event that the change in ICR/ADRET impacts the ability of the CO to
deliver on the scope of the project, the CO shall notify the CMP as soon as
that determination is made, so that the parties can renegotiate the scope of
the project. Nevertheless, it remains the responsibility of the CMP to ensure
that the reasonable and justifiable contribution of the project to shared
program costs is maintained regardless of whether this contribution is met by
the donor or by the CMP.
d)
Currency Translation, Financial Reporting & Risk Management
For purposes of this Code, the total amount of a contract or of a grant is
referred to as the total contract or grant amount. The portion of the grant or
contract that is directly controlled by the CO is referred to as the CO budget
share. The portion of the grant or contract that is directly controlled by the
CMP is referred to as the CMP budget share Additional funds that are
contributed by either the CMP or the CO for the project’s implementation is
referred to as the CMP match/cost share, more specifically CMP contribution,
LM contribution and/or the CO contribution. The contract or grant amount, the
CARE International member and CO budget shares, and the CARE
International Lead Member, Member Partner and CO contributions are
specified in Pre-IPIAs and IPIAs.
The LM/CO is responsible for ensuring adequate banking arrangements are in
place that will meet donor requirements and for specifying the bank account to
which the funds are to be transferred and currency in which the funds have to
be received, in keeping with the payment schedule established in the IPIA.
The LM/CO shall advise the CMP of the amount received in both the currency
of receipt and in the operating currency of the CO (if different). Furthermore, if
17
Refer section 03-2 CARE International Code Affiliate Membership (approved June 2010)
Page 130
the funds transferred are denominated in a currency other than the operating
currency of the LM/CO, the LM/CO shall compute and advise the CMP of the
actual exchange rate between the grant or contract currency and the operating
currency for each transfer.
For donor and CARE International reporting and grant/contract management
purposes, the actual exchange rates of successive cash transfers will apply,
using whatever method is required by the donor, e.g., the FIFO (first in first
out) method, the weighted average rate, etc., as specified in the IPIA. The CO
shall monitor the balance of:
•
Funds transferred by the CMP less the expenses charged to the CO
allocation or CMP contribution, in the contribution and operating
currency/currencies agreed upon in the IPIA.
•
The total amount of the grant/contract administrated by the CO less the
expenses charged to the grant/contract, in the currency/currencies agreed
upon in the IPIA.
Bank charges for wiring of funds shall be borne by the CMP or the party
issuing the funds.
The CO shall report interest income and manage the disposition thereof as per
the terms of the Funding Contract.
The CO is authorized to incur expenses against the grant/contract up to its
allocation in the contract currency as specified in IPIAs, unless modified by
written agreement with the CMP.
e)
Financial Reporting
The LM is responsible for ensuring that the CO submits financial reports on at
least a monthly basis. The LM reviews such financial reports and draws the
attention of the CO to any deficiencies. The LM is also responsible for
ensuring that the CO meets all of its financial reporting obligations vis-à-vis
other CARE Members and donor agencies.
CMPs are entitled to receive financial reports on projects they support directly
from the CO. The CMP is responsible for including in the IPIA any known
financial reporting requirements associated with the funding that they are
providing. In the event that the CMP is not satisfied with the financial reporting
provided by the CO, and after addressing these concerns with the CD, this
should then be brought immediately to the attention of the LM. Failure of the LM
to address issues of financial reporting should be reported promptly to the
Secretariat.
The CMP will review the financial reports and clarify any issues if required with
the CO before submission of the report to the Donor. The CMP will include
any expenses charged to its allocation, if applicable, and prepare a
consolidated financial report against the total grant/contract amount. COs will
submit all financial reports in accordance with the schedule specified in the
IPIA.
f)
Exchange Gains or Losses
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Each CO/LM will apply a consistent method of calculating exchange rates
during currency conversions that is recognized by the applicable general
accounting standards 18. Reporting of currency exchange will be compliant with
any specified donor requirements.
The CO will keep the CMP apprised of any major fluctuations in the exchange
rate between contract currency and the operating currency in the country,
and the effects this may have on the future operating currency expenses.
For contributions denominated in currencies other than the operating currency
of the CO, the CMP shall keep the CO apprised of any major fluctuations in the
applicable exchange rates, and the effects this may have on future cash
transfers.
If an exchange rate fluctuation results in an increase or decrease in funds
available for the project, the CO and CMP will agree on a way to
accommodate the change, including a reduction or increase in
project/program activities, seeking additional funding from the donor, and the
like.
If necessary, the CO may revise the operating budget for the project and will
submit this revised budget to the appropriate CARE International member,
including information on how the change may affect project activities and
outputs.
In the event of a decrease in available funds, neither the CO nor the CMP is
obliged to provide additional funding to maintain project activities as originally
planned, although in such cases both parties will work together to maximize
the extent to which project objectives are achieved, and will liaise with the
donor to seeks ways of matching project activities with available funds.
Ultimately, however, the CO is not obliged to carry out project activity for
which funding is unavailable. In the converse situation, any increase in
available funds may only be used following written agreement by the CMP and
CO 19, subject to any interests of the Donor.
In all cases CMPs and COs will work together cooperatively and transparently
to minimize net exposure on currency exchanges during the implementation
and acquittal of a donor contract. The CMP and LM/CO/DCM may agree on
ways to minimize net exchange exposure including:
•
IPIAs should be prepared in the donor currency
•
Where feasible, CO/DCMs/LM may maintain a bank account in the
currency of the funding contract
•
Where significant exposure to exchange fluctuation exists, the CMP and
CO/DCM may consider increasing the normal frequency of fund transfers to
the CO/DCM as a means of better managing said exposure.
•
Putting in place joint Treasury arrangements.
18
Currently there is no one exchange rate calculation policy being applied by all LMs and COs, although the
methods being used in CARE – usually “first in first out” based on actual amounts received, and “periodic
weighted average” exchange rates -- are recognised by general accounting standards.
19
Existing CARE International Code – Rights and Responsibilities of a Non-Lead CARE – Section II.C.2.d
Page 132
CMPs and COs/DCMs will work cooperatively to minimise the exposure to
exchange liabilities. In spite of rigorous management of exchange fluctuations,
reimbursement following project completion in donor currencies other than
USD and retrospective application of arbitrary exchange rates by donors can
result in net gains and losses that cannot be fully mitigated by the CMP or the
CO/DCM. In these cases, where currency loss cannot be appropriated to the
CO or CMP, any net or residual exchange gain or loss realised on a project
contract 20 will be shared equally by the CMP and LM/CO/DCM.
CMPs and COs share equally net foreign exchange gains or losses arising
during implementation which cannot be attributed to the action or inaction of
either party using the currency specified and calculation method stated in the
donor agreement as the fixed basis for management.
g)
Contract Engagement and Management
The LM may sign contracts on the CO’s behalf with its written concurrence.
The LM may also authorise its CO to sign contracts directly with local donor
representatives. While recognizing that overall relationship responsibility with
multilaterals lies with the CARE International Secretariat, contracts with
multilateral organisations are the primary responsibility of the LM. Contracts
with the EU are concluded by an EU CARE, ECHO Framework Partner, or the
Secretariat. Any indirect cost recovery (overhead) on contracts with the LM’s
donors, multilateral donors (except the EU), or other donors of non-CARE
Member countries will go to the LM HQ unless it agrees to waive or assign it
to, or share it with, another Member.
The CMP may only sign a contract with its government or other major donor
agency for activities in a country with the concurrence of the CO. Subject to the
CMP requirements to meet cash flow needs of project found in Section 3(a)
above, any indirect cost recovery (overhead) on contracts with a CMP's major
donors will go to that Member unless they waive or assign it to, or share it with,
another Member by separate written agreement. A CMP also has the right of
review and concur with in any proposal submitted by the CO to the local
representatives of its donors. It is the responsibility of the CMP to have
agreement from the CO on all project proposals submitted by the CMP to any
donor for any activities in that respective country.
h)
Donor and Contract Compliance
When a LM and/or CO decides to seek participation in a grant or agreement
that will involve a CMP, such LM and/or CO should evaluate its ability to
perform in accordance with the donor requirements prior to seeking such
award.
Although as the contract holder the CMP is ultimately responsible to the donor
for ensuring that all contractual obligations and donor requirements are met,
the LM and/or CO shares in that responsibility and will create and maintain
appropriate systems within the CO to meet the compliance responsibilities
required by donor regulations and legal requirements. This includes
maintaining comprehensive records of all contracts entered into by any CARE
20
This may be as a result of the application of arbitrary exchange rates (i.e. InfoEuro) by the donor or payment of
final tranches by the donor after completion and reporting of the project or other unavoidable and unmanageable
exchange fluctuations.
Page 133
for any country where it is LM. COs/DCMs are responsible for project
implementation and management in a manner compliant with donor
regulations and requirements as notified to them by the CMP and specified in
the donor contract and IPIA.
LMs are responsible for assessing the capability of COs to implement donor
contracts in a manner compliant with the range of relevant donor regulations
and legal requirements. LMs are responsible for monitoring and supporting the
performance of CO in respect of their compliance with donor regulations.
Similarly, COs/DCMs are responsible for ensuring that they have the capacity
and capability needed to implement donor contracts in a manner compliant
with the range of relevant donor regulations and requirements and only
undertake the obligations that they have the capacity and capability to fulfil.
CMPs are responsible for acquiring and making available to COs/DCMs and
LMs complete information and reference documentation on donor regulations
and requirements and for advising and interpreting these donor regulations
and requirements for COs/DCMs. Any conflicts between donor requirements
will be resolved by the CMP and the CO/DCM.
CMPs are responsible for monitoring and assisting the CO/DCM with
compliance with donor regulations and requirements, drawing CO/DCM and
LM attention to any instances of non-compliance that the CMP becomes aware
of, and being kept informed by the CO/DCM or LM of action being taken to
address non-compliance.
In arrangements in which two or more CARE International members are
involved in funding and executing projects, the CARE International members
shall work cooperatively to maintain compliance with donor requirements, with
each member being open and transparent with the others
i)
Disallowed Costs and Other Project Liabilities
CMP and COs/DCMs are each responsible for disallowed costs and project
liabilities that can be attributed to their respective actions or inaction.
Disallowed costs and other project liabilities that cannot be directly attributed
to the action or inaction of either party shall be shared equally between the
CMP and CO/DCM.
Disputes regarding responsibility for disallowed costs, which cannot be
resolved between the CMP and CO/DCM, including active engagement of each
applicable National Director, shall be addressed through dispute resolution
process as specified in the CI Code.
If disallowed costs and other project liabilities that cannot be directly attributed
to the action or inaction of the CMP or CO/ DCM are so substantial that they
would cause potentially catastrophic reputational and/ or financial risk to
CARE International or the involved CMP or LM/ DCM, the CMP and CO/DCM
may determine that consultation should be brought to the immediate attention
of the CARE International Executive Committee and agreement reached on
how CARE International as a whole will manage such situations.
Page 134
The CO/LM is responsible for reimbursement to the CMP for any gross
negligence, recklessness or wilful misconduct by the CO that results in a loss,
claim or injury (including misapplication of funds or use of funds and materials)
to the CMP. The CMP is responsible for reimbursement to the CO for any
gross negligence, recklessness or wilful misconduct by the CMP that results in
a loss, claim or injury (including misapplication of funds or use of funds and
materials) to the CO.
j)
CO Oversight and Audit
The LM is responsible for ensuring the accuracy and integrity of its own
financial records and those of the COs it oversees. The LM will ensure that
periodic audits required by donors, local governments, and others as may be
applicable, and other financial management activities, are undertaken to
review both CO and HQ financial records and statements, as appropriate.
The LM may initiate an audit of any of its COs at any time.
All CARE Members are required to submit annual audited statements of
accounts to the Secretariat, and such statements will be made available to any
other CARE Member upon request. Any CARE Member may request, via the
LM or the Secretariat, the results of any final audits reports conducted in any
CARE CO. Any CMP has the right to audit CO books with respect to any
funding it provides, the costs of which are the responsibility of the CMP unless
otherwise agreed in writing. Copies of any final internal or external audits of
CARE CO or CARE Member operations may be requested by any CARE
Member.
If required by the Donor, the CO or CMP, an audit of a specific project will be
undertaken. The cost of the audit will be borne by the party requesting it, or as
specified in the project Funding Contract. To the maximum extent possible, at
least 30 days notice will be given to the CO before an audit is undertaken.
4.
Administration
The LM is responsible for ensuring the compliance of the CO with all
established CARE International, LM and CO administrative policies and
procedures. The LM also provides direct support services in this area to the
CO as required. The LM may audit CO performance in this area at any time.
In the event of disputes between a CO and another CARE Member, the LM
will intervene to resolve the dispute.
Any CARE Member may offer services in this realm to any other CARE Member
or any CO interested in availing itself of such services. Any disputes arising
between a CO and any CARE Member will first be referred to the LM.
For goods and services purchased for projects undertaken with a CMP, the
CO is responsible for utilizing an established Procurement Manual consistent
with recognised good practices (as per LM policy and procedures). The
applicable Procurement Manual should be agreed to between COs and the
CMP. CMPs should ensure that the Procurement Manual complies with
applicable Donor rules and regulations. The CO is responsible for maintaining
Page 135
and complying with a policy that provides for a high level of integrity and
avoidance of conflicts of interest in the procurement process.
The LM and CD are responsible for ensuring that a whistle-blowing policy is
established and functional at the CO level, and that reports are appropriately
investigated and resolved.. The LM/CO shall promptly advise the appropriate
CMP of any alleged instances of fraud or misappropriation so that CMP may
comply with any applicable donor requirements and laws and regulations. The
parties will by mutual agreement decide the appropriate course of action. The
LM/CO agrees to keep the CMP informed of the status of the investigation,
and shall provide a copy of final reports to the applicable CMP. Any such
reports will be kept strictly confidential as set forth in Section E (11) below,
with only the knowledge and participation of appropriate staff with a need to
know.
The LM is responsible to ensure that the CO supply chain management
system is able to adapt for effective emergency response 21.
E.
OTHER ROLES AND RESPONSIBILITIES 22
1.
Agreements Between Members
Further to the above, it is acknowledged that there may be occasions and
circumstances when donors will wish to seek framework agreements and/or
individual contracts for their contributions through the established Lead
Membership system.
In positively and constructively negotiating and facilitating such arrangements,
the LM undertakes to give full consideration to the special interest, donor
conditions, governmental requirements, and other relevant constraints relating
to the contribution of the respective Member.
Any such agreements and/or contracts entered into between the Members of
CARE must be fully in keeping with the CARE International Code and all other
CARE International Board-approved policies and procedures. Any provisions
of such agreements and contracts not consistent with CARE International
policy will be updated, as appropriate, by the parties.
2.
Agreements Between Members and Country Offices
In order to facilitate the process of preparing a written agreement between
members and COs for the implementation of projects, CARE Members should
use the Pre-IPIA and IPIA 23 templates that have been developed. These
templates should form the basis for any such agreements, with adjustments
made where necessary, to meet the specific donor and project requirements.
Based on practical experience, the templates as a whole should occasionally
be reviewed and, if appropriate, be adjusted.
21
22
CET logistics chapter: http://www.careemergencytoolkit.org/logistics/#1.1
This may in future include a section on Private Sector engagement.
Page 136
IPIAs shall incorporate or make reference to donor specific requirements that
the CO needs to be aware of to ensure appropriate compliance.
CMPs are to ensure clarity as to who has authority to represent and sign IPIAs
with COs and LMs (as required) on their behalf. Likewise LMs are to ensure
clarity as to who has authority to represent and sign IPIAs with CMPs COs i.e.
either within LMs and/or COs (as required) on their behalf. Such clarification
will be established in the Pre-IPIA.
Any amendment to the IPIA reflecting any agreed changes will be executed in
writing by all relevant parties.
It is strongly recommended that “Pre-IPIA” agreements should be agreed
upon between CPMs and LMs/COs addressing key business terms prior to
and during proposal preparation. This agreement would cover, as
appropriate, proposal development costs, match, SPC, banking, budget,
signature authority, timelines, partner selection, roles and responsibilities of
COs and CMP during proposal development, and other essential business
terms, all of which would enable a clear “go no-go” decision prior to
substantive development of proposal and submission to donor. A standard
checklist can be found under Section 13 of this Code that it is strongly
recommended for use. The establishment of a Pre-IPIA is required if any one
of the parties (CMP/LM/CO/DCM) expresses a desire for such an agreement.
Copies of the Pre-IPIA and IPIA templates can be found under Section 13 of
this Code.
3.
Signing Authority
CARE Members are to ensure clarity as to who has authority and capacity to
represent and sign agreements with other CARE members.
4.
Communications and Information Exchange
The LM is responsible for keeping the Secretariat and other interested CARE
Members informed about significant developments in countries for which it is
responsible, as well as the plans and activities of the CO, or ensuring that the
CO does so directly.
Any CARE Member should communicate its interests in a particular country to
the concerned CO and LM. Any Member wishing more information on CARE's
activities in a particular country may request such information from the LM or the
CO, and such information will be provided in a timely manner. Similarly, any CO
or LM may request and obtain more information concerning the interests and
activities of other CARE Members.
5.
Media Relations
Within CARE International, the LM should coordinate any CO related media
activities of the Members relating to a particular CO. The LM will initiate such
activities or delegate in writing such activities to other Members. The CO
should provide an adequate level of support to the media-related activities of
CARE Members. In the event of disputes between a CO and another CARE
Page 137
Member, the LM will intervene to resolve the matter.
Any CARE Member wishing to undertake media activities related to a particular
country may do so only with the concurrence of the concerned CO and
consistent with practices and protocol established in the CI Communications
Handbook and any other applicable policy or procedure (see Section 11 of the CI
Code). All such activities must be coordinated through the CO, and the LM will
be kept informed. Adequate advance notice of planned media activities must be
provided to the CO. The CARE Member arranging or desiring media activities
will be sensitive to the workload of the CO and to the political sensitivities of the
host country environment and not place unreasonable demands for support on it.
6.
Donor Visibility
CO will comply with the requirements, process and procedures for the public
recognition of the Donor within a specific project. If required, the CO, in
consultation with the CMP, will prepare and submit in a timely fashion any
documentation that may be required by the Donor.
7.
Intellection Property and Third Parties
LMs, CMPs and COs shall honour and respect the ownership of any intellectual
property interest of third parties outside of CARE International pursuant to
relevant national laws and international conventions, and any relevant donor or
contractual restrictions.
8.
Safety & Security
All CARE International Confederation Members will hold themselves accountable
for maintaining and respecting the CARE International Safety and Security
management framework and other elements of the CARE International Safety &
Security Framework through their policies, protocols and procedures 24.
It is the responsibility of the LM to monitor the safety and security situation incountry and coordinate contingency plans, if necessary, in the event of a
situation affecting the safety or security of CARE personnel. The LM will keep
CARE International Safety and Security Unit and through them the Secretariat
and other concerned Members advised of changes in safety and security
operating contexts and threats to the safety or security of CARE staff, property
or operations. Subsequently, the CISSU will inform the other members.
Any CARE Member is entitled to information on safety and security conditions
affecting CARE's operations in any country. Such information may be requested
at any time from CISSU which will be kept informed by the CO and/or LM.
CARE Members with employees assigned to the affected CO, or with staff
in-country when a safety or security situation develops, should make any
particular concerns they have regarding their staff known to the LM and/or the
CO, with CISSU being informed throughout the process. Final decisions related
to all Safety and Security issues, including contingencies such as staff
evacuation remain with the CD, who retains ultimate responsibility for all CARE
staff in country at all times. Any Member in disagreement with such a decision
should make this immediately known to the LM and may also inform the CISSU.
24
Refer CARE International Safety and Security Principles (section 12-7 of this Code)
Page 138
Dispute Resolution
Every effort will be made to resolve any dispute between CMP, LM and/or CO/DCM through
good faith negotiation and mutual agreement, including the active engagement of each
respective National Director. In the event that these cannot resolve the dispute by mutual
agreement, the dispute may be referred to CARE International for a thorough review and
action. See also Code Section 10 “Conflict Resolution” for guidance.
Compliance with Law
The CMP, LM and CO shall comply with all applicable laws and regulations.
Confidentiality25
CARE Members shall hold in confidence and not use or disclose confidential information of
the other CARE Members, except: (i) to their respective employees with a need to know such
information to perform the obligations as specified in this CARE International Code; or (ii) with
the consent of the other CARE Member; or (iii) in connection with regulatory, judicial or
administrative requirements.
Confidential information of CARE International shall mean any information
(written, oral or observed) relating to CARE International’s: (a) donors and
potential donors; (b) beneficiaries; (c) employees; (d) business and strategic
plans; (e) finances; and (f) relationship with any governmental entity.
Confidential information of CARE International shall also include information
specifically designated confidential by CARE International or which the parties
know or reasonably should know is not generally known to the public.
Notwithstanding the forgoing, confidential information of CARE International
shall not include any information that is generally known to the public or
readily ascertainable from publicly-available sources including member annual
reports, fundraising collateral and CO strategic plans which are publically
shared with host governments and donors.
9.
Notices
Any communication in writing will be considered given when delivered by
confirmed facsimile, email or courier service to CARE International Members
at the addresses registered with CARE International or at such other
addresses as a CARE Member may designate in writing, however, any critical
notices shall be sent or confirmed by methods other than facsimile
transmissions and/or electronic mail.
..............................
25
This matter is currently under review
Page 139
Principles of Engagement Between Country Offices, CARE Member
Partners and Lead Members
1. CARE has one purpose – Vision, Mission & Principles
2. Diversity must contribute to CARE’s one purpose
3. CARE Members and Country Offices act cooperatively to mobilise and manage
resources to maximise CARE’s impact on poverty and social injustice
4. The added-value of each Member must be demonstrated, recognised and contribute
to CARE’s one purpose
5. CARE’s programs in the field must be supported on the basis of mutual respect and
trust between all parts of CARE International
6. CARE’s operating model will promote, support and deliver accountability to all
stakeholders
7. CARE International operates with a Single Country Presence representing all parts of
CARE International. Country offices will engage with all interested CARE International
Members in activities consistent with CARE’s one purpose.
8. Lead Members manage Country Offices on behalf of all of CARE International and are
responsible for Country Office standards and performance
9. Each part of CARE is responsible and accountable for maintaining behaviour
consistent with CARE’s vision, mission, values and principles
10. Roles and responsibilities within all of CARE International elements must be clear,
consistent and realistic
11. Risk is intrinsic to CARE’s work and should be shared equitably and managed
collaboratively
12. CARE Member Partners “own” their projects and maintain responsibility and
accountability for them
13. “Lead Membership” of a Country Office entails responsibility to invest resources and
provide support to Country Office capacities and competitiveness in support of CARE’s
one purpose
14. The primary relationship in projects and contracts is between CARE Member Partner
and Country Office
15. All CARE’s operations must be efficient and cost-effective
16. CARE International is institutionally interdependent and actions need to be taken by
Members transparently in collective interest
Page 140
Roles and Responsibilities of a
Country Director
Page 141
Board Policy Pertaining to the Major Elements of the Roles and
Responsibilities of a Country Director
This policy contains the following:
1.
Definitions;
2.
Specific Roles and Responsibilities of a Country Office/Country Director in the areas of:
A) Maintenance of CARE’s Presence and Representation of CARE’s Interests; B)
Programme Planning and Management; C) Country Office Management; and D) Other
Responsibilities;
3.
Guidelines - Definition and Responsibilities of a Lead Member;
I: Definitions
I.
A.
Country Office
A Country Office is the field level staff and facilities established by the Lead
Member to manage the activities of CARE International in any host country.
Normally, a Country Office will consist of one or more resident international and
national staff and an appropriate level of in-country infrastructure to support
CARE’s operations and project activities. For any host country there is only one
CARE International Country Office.
B.
Country Director
For each Country Office, the Lead Member will designate a Country Director or
Acting Country Director. The Country Director is the senior staff person
designated by the Lead Member as having overall operational responsibilities for
all CARE International activities in any host country. Members will be notified
about candidates to be appointed. It is the responsibility of the Country Director
to ensure that all of the responsibilities assigned to the Country Office by CARE
International, as identified below, are fulfilled. For any host country, there is only
one Country Director at any point in time.
II: Specific Roles and Responsibilities of a Country Director and a
Country Office
II.
A.
MAINTENANCE OF CARE’S PRESENCE AND REPRESENTATION OF CARE’S
INTERESTS
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1.
Basic Country Agreement
In most cases, a Country Office will be operating under basic agreements
already signed between CARE and the host government. Where this is not the
case, the Country Office may, under the direction of the Lead Member,
negotiate and facilitate the approval of the Basic Country agreement with the
host government. Once such an agreement is signed, it is the responsibility of
the Country Office to ensure compliance with the provisions of the agreement.
Any major problems with the host government concerning the
implementation of the agreement should be brought to the attention of the
Lead Member.
2.
Representation vis-à-vis Host Government
The Country Office is responsible for managing the day-to-day relations with
host government bodies. All negotiations with the host government will be
conducted through the Country Office. Through the Lead Member, the Country
Office will keep CARE International and its Members informed of host country
conditions.
3.
Representation vis-à-vis Bilateral Donors and Members
The Country Office represents CARE to all embassies and the local
representatives of bilateral donors. The Country Office keeps the Lead
Member advised of all significant development vis-à-vis bilateral donors. The
Country Office consults with Non Lead Member CAREs concerning relations
with their respective major bilateral donors and other sources of funding and
explores specific funding opportunities with bilateral donor representatives as
requested by non-Lead Member CAREs and copies them on all important
communications. The Country Office will consult with and obtain the
concurrence of the concerned CARE Member, for funding requests made to
the local representatives of that Member’s government.
4.
Representation vis-à-vis Multilaterals
The Country Office represents CARE to all resident organisations or visiting
missions of multilateral bodies. All contacts with the EU are to be handled as
per CARE International policy through the cooperating EU CARE if any, or
through another EU CARE or the Secretariat. The Country Office keeps the
Lead Member advised concerning contacts with UN agencies, the World Bank
and other multilaterals and may ask the Lead Member to liaise on its behalf
with the HQs of such multilaterals. The Country Office will also pursue
contacts and explore specific funding opportunities with multilateral
organisations as requested by the Lead Member, either on behalf of the Lead
Member or on behalf of another CARE Member authorised by agreement with
the Lead Member.
5.
General
The Country Office has the responsibility to represent the interests of all CARE
Members and to enhance the profile of all National CARE organisations incountry.
B.
PROGRAMME PLANNING AND MANAGEMENT
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1.
Strategic/Programme Planning
Each Country Office is responsible for preparing a Strategic Plan (LRSP) in
accordance with CARE International guidelines. The scope and content of
such plans may vary somewhat in keeping with in-country circumstances,
but each Country Office must maintain an up-to-date plan. In preparing
such plans, the Country Office will solicit the input of all CARE Members
and facilitate their participation in the planning process. Completed plans
will be submitted to the Lead Member for review and approval. Once
approved by the Lead Member, plans will be submitted to the CI Secretariat
for review and comment. Once finalised, such plans serve as the guide for
all Members interested in supporting activities in that country. However,
the plans must not be seen as a rigid blue print. In order to respond to the
needs and priorities of CARE Members and their bilateral donors, the
Country Office should be prepared, within reason, to consider appropriate
new programming opportunities as they may arise. The Country Office also
submits annual plans and budgets to the Lead Member for review and
approval.
2.
Project Development, Management and Evaluation
a)
Project Development/Design
The Country Office has the primary responsibility for the development
of new projects. This is done in accordance with the programme
principles of CARE International and within the framework established
by its approved strategic plan. The Country Office must submit all
new concept papers and project proposals to the Lead Member for
review and approval. The Country Office will keep any CI Member
involved in joint project design efforts fully informed as to progress.
The Country Office will work actively to identify appropriate project
activities and funding opportunities with those Members that express
their interest in working in that country and will also explore
appropriate opportunities that may be identified by interested CARE
Members with the goal of achieving the broadest possible CI
participation. It is during the planning and design phase that the
Country Office and potential Project Sponsor should work out the
details of future collaboration.
b)
Provision of Technical Assistance
Each Country Office should identify its technical assistance
requirements for on-going and planned activities and communicate
these to the Lead Member. The Country Office can source technical
assistance services from the Lead Member, other CARE Members, or
outside sources in consultation with the Lead Member and concerned
Project Sponsor.
c)
Project Management
Project management is an essential element of Country Office
responsibilities. The Country Director is responsible for all CARE
activity in his/her country of assignment. All Project Managers are
responsible to the Country Director. Project Managers, through the
Country Director, report to the Project Sponsor(s). The Country
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Office will actively involve Project Sponsors in major decisions
concerning project strategy and will work closely with Members
wishing to play an active role in project management. The Country
Office will work with each Project Sponsor to achieve an appropriate
level of identity and ownership for the concerned Member in the incountry management of the project(s) it sponsors.
Where a non-Lead Member wishes to fund and place a resident
Programme Coordinator for its projects in a country, the Country
Office will facilitate this and the resident Programme Coordinator will
be fully integrated into the Country Office structure, responsible to the
Country Director.
d)
Monitoring and Reporting
The Country Office is responsible for the close monitoring of all
project activities. The Country Office is also responsible for providing
regular reports on the implementation of each project to both the
Lead Member and Project Sponsor(s). Reports will be prepared in
the formats and as per the time schedule required by the donor
agency and/or Project Sponsor.
e)
Evaluation
The Country Office is responsible for conducting periodic evaluations
of an appropriate nature for all projects. The fundings for such
evaluations should be included in the project budget and the findings
made available to any CI Member upon request. The Country Office
is responsible for complying with the evaluation requirements
established by the Lead Member, Project Sponsor(s), and donor(s).
3.
Emergency Assistance
a)
Planning and Preparedness
The Country Offices should undertake appropriate disaster planning
and preparedness exercises. Country Offices should prepare
Emergency Response Plans as indicated by the Lead Member. Such
plans should be submitted to the Lead Member for review and
approval and shared with the Secretariat and other interested CI
Members.
b)
Assessment
Emergency assessment teams should normally be created by the
Country Office (if in existence) in coordination with the Lead Member.
Other CARE Members should be invited to participate from the
outset. It is the mandate of the Country Office to accommodate and
support emergency initiatives. The Lead Member and Country
Director will coordinate emergency assessments. All reports on such
assessments will be shared with the Secretariat and other CARE
Members.
c)
Emergency Response
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All aspects of in-country emergency response activities will be under
the authority of the Country Director and will operate from within the
existing Country Office. If other Members provide complementary or
“bolt on” support, such activities will operate within the existing
Country Office. Under the guidance of the Lead Member, the Country
Office should develop a plan for managing the emergency response,
submit this plan for review and approval by the Lead Member, and
share it with other interested CI Members. For more detailed
guidelines concerning CARE International Emergency Assistance,
refer to the Emergency section of the CI Code.
d)
Cross Border Operations
In the event that a Country Office temporarily needs to fully or
partially operate from another country, due to the security or the
nature of the emergency, it will advise CARE International to this
effect through the Lead Member. If there is a CARE Country Office
already established in that country, it will closely coordinate all its
actions with that Country Office and do nothing to undermine CARE’s
standing or operations there.
e)
The Country Office in consultation with the concerned CI Members,
will seek out local sources of funding for emergency response and
activate the Country Director’s Discretionary Fund if conditions
warrant.
f)
Communications and Media
The Country Office will share any information assessment reports
with all CARE Members and the Secretariat within 24 hours of any
rapid-onset emergency. Subsequent update reports will also be
provided periodically. Early warning information on slow-onset
emergencies will also be prepared by the Country Office and
disseminated to all CARE Members and the Secretariat.
A senior Country Office staff person will be designated as Media Coordinator and will
oversee all on-site CARE Member media personnel. Visiting media teams arranged by
CARE Members will be provided all reasonable logistical support by the Country Office.
The Country Office should advise CARE Members of any political or other sensitivities to
avoid in press releases. Any statements issued by the Country Office which represent
shifts in policy should be cleared with the Lead Member and shared with CI in advance.
C.
COUNTRY OFFICE MANAGEMENT
1.
Human Resources
a)
Appointment of Country Director
The Country Director is appointed by the Lead Member. Such
appointments can only be finalised after review by the CI Staff
Working Group and National Directors. All promotions to Country
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Director rank are made by the Lead Member, consistent with the
criteria adopted by the Board of CI, and are also subject to advance
review by the Staff Working Group and National Directors.
b)
Other Staffing
The Country Director is responsible for assessing international
personnel requirements and soliciting personnel from the National
CARE(s) carrying out recruitment. In the case of project-specific
positions this will be the Principal Project sponsor or its designate,
while in the case of non-project specific positions this will be the Lead
Member or its designate. The Country Office is responsible for
providing the skill profile for all such positions; and the Country
Director has the right to review all candidates proposed.
The concerned Member will seek agreement with the Country
Director in all such appointments. The Country Director has authority
over all national staff recruitment decisions but may seek the advice
of the Lead Member and/or Project Sponsor as appropriate.
c)
Personnel Management
All expatriate and national staff assigned to or employed by the
Country Office are under the ultimate authority of the Country
Director. The Country Director assigns Project Managers and
expatriate project staff to projects in agreement with the CARE
Member(s) financing the project. The Country Director consults with
the Project Sponsor prior to any decision to promote, demote,
reassign or release expatriate staff financed by that Member.
The Country Director supervises and evaluates all expatriate personnel, and is also
responsible for developing staff potential, upholding morale, providing orientation, setting
work standards, and enforcing discipline. The Country Director also has authority to hire,
promote, fire, and determine the compensation levels of national staff consistent with host
country laws and practice.
2.
Financial
a)
Overall Country Office Financial Needs and Cash Flow
The Country Office estimates its overall cash requirements and
requests cash transfers from the Lead Member and Project Sponsors
as required to maintain operations and implement project activities.
The Country Office identifies locally available funds and pursues them
in consultation with the Lead Member and other concerned CARE
Members.
b)
The Country Director is responsible for the management of all CARE
assets and financial resources in-country and is accountable to the
Lead Member and Project Sponsors which provide those resources.
The Country Office prepares an annual budget as a part of its annual
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plan and submits it to the Lead Member for approval. Project budgets
are also submitted to the appropriate CARE Member Project
Sponsor(s). The Country Office is responsible for working within its
approved budget.
c)
Financial Reporting
The Country Office is responsible for preparing financial reports on at
least a monthly basis, using the agreed-upon reporting system. The
Country Office also prepares and submits other financial reports to
the Lead Member as requested. The Country Office also submits
project expenditure reports to the Lead Member, CARE Project
Sponsor, or directly to the funding agency as required by approved
grants and contracts. The Country Office will provide special financial
reports to Project Sponsors in the format they require.
d)
Contracts Management
The Country Office is responsible for being aware of the terms and
conditions of all contracts entered into by CARE for activities in that
country. Any problems in such terms and conditions should be
brought to the attention of the Lead Member and the concerned
Project Sponsor. The County Office may sign contracts on CARE’s
behalf with the approval of the Lead Member and the Project Sponsor
(if other than the Lead Member).
The concerned Project Sponsor will ensure that the Country Director has reviewed and
concurred with all contracts before they are signed by the Lead Member or other CARE
Members on behalf of the Country Office. Once a contract is signed, the Country Office is
responsible for complying with its terms and implementing the agreed-upon activities. Any
problems related to compliance and implementation should be brought to the immediate
attention of the Lead Member and Project Sponsor(s).
e)
Shared Country Support Costs
The Country Office is responsible for equitably allocating its shared
Country Office operating costs to the various projects and donors as
per an agreed formula. All concerned CARE Members should be
informed as to their share of such costs.
f)
Oversight and Audit
The Country Office is responsible for complying with all established
CARE financial policies and procedures and establishing and
maintaining all appropriate internal controls. The Country Director is
responsible for maintaining complete and accurate financial records
and setting high standards of honesty and integrity.
3.
Administration
The Country Office is responsible for complying with all established CARE
administrative policies and procedures in such areas as procurement,
vehicle fleet management, etc. The Country Office identifies its support
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service requirements and arranges, under Lead Member supervision, to
directly provide for them or contract them out to interested CARE Members
or external vendors.
D.
OTHER ROLES AND RESPONSIBILITIES
1.
Communications and Information Exchange
The Country Office is responsible for keeping the Lead Member and the CI
Secretariat informed as to important developments taking place in the
country that have an impact on CARE’s work. The Country Office should
regularly provide information to CARE’s Members on its on-going and
planned activities.
2.
Agreements between Members
There will be occasions and circumstances when a CARE Member will
seek Framework Agreements or individual contracts for their contribution
through the established Lead Member system. In such cases, the Country
Director and the Lead Member will assume responsibility for the special
interests, donor conditions, governmental requirements and other relevant
constraints related to the contribution of the respective Member and
stipulated in the agreements or individual contracts.
3.
Media Relations
All CARE Country Offices should be sensitive to the importance of
enhancing CARE’s visibility in general and of participating non-Lead
Members in particular through positive media exposure. Country Offices
will provide reasonable and necessary support and cooperation to CI
Members interested in organizing coverage in their country. In-country
media coordination will be handled by the Country Office, with guidance
provided by the Lead Member.
4.
Security
The security of all CARE staff in-country is a primary responsibility of the
Country Director. The Country Director is also responsible for taking all
possible actions to safeguard the organisation’s assets and operations. To
the extent that conditions permit, the Country Director will consult with the
Lead Member and concerned Project Sponsors on any major securityrelated matters, such as staff evacuation or suspension of operations.
5.
If this is not possible, the Country Director is authorised to take any steps
necessary to ensure staff safety; in emergencies, the Country Director is
responsible for activating Country Office security plans and, if the situation
warrants, for evacuating the Country Office.
6.
Dispute Resolution
The Country Office will attempt to resolve any disputes which arise
between the Country Office and any other CI Member directly with the
concerned Member. In the event that the dispute cannot be resolved in this
manner, it will be referred to the Lead Member for follow-up action at the
CARE International level.
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III: Guidelines
III.
The Country Office is the central institution of CARE International for the development
and implementation of the organisation’s development and emergency relief
programmes. The size and structure will vary significantly, and will be determined by
the Lead Member taking into account such factors as host country conditions and the
size and nature of the project portfolio. In each host country, the Lead Member will
designate a Country Director who will have overall management and representational
responsibility for all Members of CARE International.
The Position of Country Director encompasses a range of responsibilities with respect
to CARE International and its Members, to CARE Project Sponsors and to the Lead
Member. These relationships need to be clear and well balanced so as to provide a
coherent and focused organisational environment within which the Country Director
can successfully provide direction and leadership to the Country Office. In this
complex of relationships, spelled out in policy documents on the Definition and
Responsibilities of a Lead Member and non-Lead Member and this document, the
Country Director is primarily accountable to the Lead Member for the overall operation
of the Country Office and its programmes, and to Project Sponsors for those activities
which they support. In addition, the Country Director is accountable to other CI
Members and CARE Member Project Sponsors in accordance with specific stipulations
contained in the respective project agreements.
..............................
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Roles and Responsibilities of the
Chairperson
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The Office of Chairperson* of CARE International
The Chairperson of CARE International is the chairperson of both the General Assembly and
the Board of Directors and serves the organisation in a volunteer capacity. He/she presides
over the governance structure of CARE International, providing leadership in the setting of
strategy and policies and ensuring that reasoned decisions are taken on the most important
questions facing the organisation. The position of Chairperson is thus one of great influence,
prestige and recognition, connoting the respect and trust of his/her peers. 26 Working closely
with fellow Board members and the Secretary General, the Chairperson ensures that the
organisation stays focused on its mission and achieves its goals.
Broad Roles
1. Ensure that the General Assembly and the Board of Directors function effectively and
fulfill their assigned strategy-setting, policy-making and other governance functions.
2. Provide on-going guidance and support to the Secretary General and ensure that he/she
effectively performs the responsibilities assigned by the Board of Directors.
3. Promote a free and healthy flow of information within CARE International, staying
informed of important internal and external developments and ensuring that Board
Members receive all pertinent information in a timely manner.
4. Work with the Nominations Committee to assess the effectiveness of the Board of
Directors and consult with others about how to improve its performance.
5. Serve as one of CARE International’s most important and visible spokespersons,
providing high-level representation for the organization in a wide range of settings.
Responsibilities
1. Meetings of the General Assembly:
a. Call meetings of the General Assembly once a year, the date and place to be decided
in consultation with the Secretary General. Poll the members if any items require
action by the General Assembly between annual meetings.
b. Set the agenda for meetings of the General Assembly, taking into account the input of
the Member organisations and their Board representatives.
c. Preside at meetings of the General Assembly in a way that invites participation and
ensures that the body fulfills its governance responsibilities.
d. Report, at the annual meeting, on the state of CARE International, critical issues for
attention, and significant developments and actions taken since the last meeting of
the General Assembly.
2. Meetings of the Board of Directors:
a. Establish a calendar of meetings for the year, in consultation with Board members
and the Secretary General. At least two meetings per year will be called, but the
*This paragraph draws on “The Role of the Board Chairperson,” by Eugene Dorsey, National Center for NonProfit Boards.
Page 152
b.
c.
d.
e.
Chairperson may, at his/her discretion, call additional meetings as necessary to
ensure that the Board fulfills its governance responsibilities.
Set the agenda for meetings of the Board of Directors, in consultation with the
Secretary General, and taking into account the input of Board members.
Preside at meetings of the Board of Directors in a way that invites participation and
ensures that the body fulfills its governance responsibilities.
Act on behalf of the full Board, in consultation with the Secretary General, when an
emergency arises between meetings that requires immediate action, provided that
such action does not contravene any decision of the Board or set policy. In
substantive matters of importance, the Chairperson shall utilise as far as possible all
practical means of consulting the full membership of the Board.
Make a report, at each meeting, of all important matters that have arisen and
business that has been acted upon since the last meeting.
3. Committees of the General Assembly and Board of Directors:
a. Ensure that any Committees called for in CARE International’s Statutes are properly
constituted and functioning. Regarding the constitution of the Nominations
Committee, the Chairperson will ensure that a slate of nominees for any vacancies,
including a proposed Chair, is put forward by the Nominations Committee for election
at the annual meeting of the General Assembly.
b. Assess the need for any additional standing or ad hoc Board Committees, appoint the
chairpersons for such Committees, and monitor their effectiveness on an on-going
basis.
4. Support to and oversight of the Secretary General:
a. Provide on-going support, feedback and guidance to the Secretary General in his/her
conduct of the management of the Secretariat and the business of CARE
International. Communicate regularly with the Secretary General, through face-toface meetings where possible.
b. Ensure that the performance of the Secretary General is formally reviewed by the
Board of Directors on at least an annual basis. Lead or directly participate in this
review process.
c. Lead the Board of Directors in the recruitment, succession and/or replacement of the
Secretary General as required.
d. Exercise the CARE International Board of Directors’ oversight with respect to the
smooth functioning of the organisation between meetings of the Board.
5.
a.
b.
c.
d.
e.
Evaluating organisational and Board performance:
Ensure that CARE International has in place a strategic plan and a system for
regularly monitoring progress against agreed strategies and objectives.
Ensure that the performance of the Board in fulfilling its governance responsibilities
and making decisions in an efficient and transparent manner is reviewed annually by
the Nominations Committee. Consult with fellow Board members regarding areas for
improvement.
Consult with the Nominations Committee to ensure that the Board has available to it
the mix of skills and diversity of experience required to fulfill its governance
responsibilities.
Ensure that all Board members and officers receive clear terms of reference and that
new Board members are oriented regarding their responsibilities. Work with the two
Vice Chairpersons to define specific roles for each in keeping with the priorities of CI
and their respective areas of expertise and interest.
Consult periodically with the Treasurer regarding the financial health of CARE
International and its member organisations.
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6. Flow of Information:
a. Stay informed of important internal developments, as well external events that affect
CARE International’s work. The Chairperson should be informed by the Secretary
General of all matters of operational importance and should be consulted in all
matters affecting the policies of CI.
b. Ensure that all Members of the Board are provided by the Secretariat with timely and
accurate information on all matters within their purview.
7. Representation:
a. Make him/herself available, in consultation with the Secretary General, as a
spokesperson for CARE International.
b. Represent CI at meetings or other events where his/her presence is important to
advance its mission, or ask another officer or Board member to do so.
c. Undertake, wherever possible, other representation functions at the request of one or
more Member organisations, when he/she judges it to be in CARE International’s
best interests.
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CARE International
Treasurer
Page 155
The Office of Treasurer of CARE International
The Treasurer is one of four CARE International officeholders elected by the General
Assembly, and he/she is the ex officio Chairperson of the Board Finance and Audit
Committee. The role of the Treasurer is to monitor, on behalf of the Board of Directors, the
overall financial condition and policies of CARE International, including: 1) the financial plans,
budgets and audited financial statements of CARE International; 2) the adoption and
implementation of agreed common financial policies and systems across CI and 3) the
financial health of CARE International and its member organisations. The Secretary General
will provide to the Treasurer any information and documents of a financial nature that he/she
may reasonably request.
Responsibilities
1. Vis-à-vis the Chairperson and Board of Directors:
a. Review and recommend to the Board of Directors, for its approval, the annual budget
of the CI Secretariat and its allocation across the member organisations.
b. Review the quarterly financial statements prepared by the CI Secretariat, ensuring
that it is working within its approved budget. Draw to the attention of the Chairperson
any issues that can not be adequately resolved or clarified by the Secretary General.
c. Bring to the attention of the Chairperson all issues of a financial nature that he/she
believes warrant attention by the full Board of Directors, including policy matters as
well as concerns related to the financial condition of any member organisation.
d. Report to the Board of Directors on the deliberations and recommendations of the
Finance and Audit Committee. Provide advice to the Board on all financial questions
affecting CARE International.
2. Vis-à-vis the Board Finance and Audit Committee:
a. Set the schedule and agenda for meetings of the Finance and Audit Committee. Such
meetings, either face-to-face or by telephone, will be held at least twice a year, but
may be held more frequently if deemed necessary by the Treasurer.
b. Serve as Chairperson of the Finance and Audit Committee, ensuring that all
important financial matters affecting CI and its membership, including those referred
to it by the Board of Directors, are handled in an appropriate and timely manner.
Approve the minutes of all meetings of the Committee.
3. Vis-à-vis the General Assembly:
a. Present to the General Assembly, at its annual meeting, the audited annual financial
statements of CARE International for its review and approval. Draw to its attention
any aspect of such statements requiring their attention.
b. Recommend the appointment annually of CARE International’s external auditors for
approval by the General Assembly.
c. Meet once a year in person or over the phone with the appointed auditors, without
management present.
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CARE International
Secretary General
Page 157
The Office of Secretary General of CARE International
The Secretary General plays a pivotal role in ensuring the smooth functioning of the CARE
International federation. He/she is responsible for providing all necessary support services to
CARE International’s General Assembly and Board of Directors to fulfill their governance
responsibilities. The Secretary General is accountable to the Board of Directors, which is, in
turn, accountable to the General Assembly. The Secretary General provides input and
recommendations on matters of strategy and policy and carries out the decisions of the
Board of Directors. He/she is also responsible for providing support to Member
organizations, facilitating and promoting closer cooperation, recommending criteria and
standards for CI membership and operations, and monitoring and ensuring compliance with
those criteria and standards. The Secretary General exercises executive authority over the
operations of the Secretariat, as well as any specific functions for which the Board of
Directors grants him/her such authority, and he/she has full authority to delegate specific
responsibilities to members of the Secretariat staff as he/she deems appropriate. Externally,
the Secretary General is CI’s primary spokesperson and is responsible for developing
CARE’s relationships with multilateral agencies.
Broad Roles
1. Provide support to the Chairperson of CARE International, the General Assembly, and
the Board of Directors in fulfilling their governance responsibilities.
2. Manage the CARE International Secretariat, its staff, and the budget approved for it by
the Board of Directors.
3. Work closely with the Member organisations to maximize their individual and collective
contributions to CARE International’s vision and mission and to resolve disputes between
Members when required.
4. Pursue opportunities for the expansion of CI’s membership, with the approval of the
Board of Directors.
5. Take the lead in the development and management of CARE International’s relationships
with the United Nations system, the European Union and other multilateral institutions
relevant to the organisation’s mission.
6. Serve as CARE International’s primary spokesperson, providing high-level representation
for the organisation in a wide range of settings.
Responsibilities
1. Vis-à-vis the Chairperson, General Assembly and Board of Directors (on the
efficient running of CARE International):
a. Make all necessary arrangements, in consultation with the Chairperson, for all
meetings of the General Assembly, Board of Directors, Nominations Committee, and
any other committees formally established by the General Assembly and Board of
Directors.
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b. Assist the Chairperson in setting the schedule and agendas for meetings of the
General Assembly and Board of Directors.
c. Provide all required Secretariat services for meetings of the General Assembly, Board
and their standing committees, ensuring that a full and accurate record of all such
meetings is established and maintained.
d. Ensure adequate reporting to the Board of Directors on the portfolio of projects being
undertaken by the membership globally.
e. Prepare the annual CI budget for approval by the Board of Directors.
f. Ensure that an annual external audit of CI’s accounts is undertaken and delivered to
the Treasurer, for the ultimate review and approval of the General Assembly.
g. Undertake any other specific duties or functions delegated to him/her by the CARE
International Chairperson or Board of Directors.
2. Vis-à-vis the Chairperson and Board of Directors (on the formulation and
implementation of the strategy and policies of CARE International):
a. Implement, as directed by the Board of Directors, the decisions and policies of the
Board and General Assembly. Report to the Board of Directors any delays or
deficiencies in the implementation of those decisions and policies and apply such
procedure as the Board may adopt to resolve such situations.
b. Assist the Board of Directors in formulating CARE International’s strategic plan, and
in the subsequent monitoring of its implementation.
c. Make recommendations to the Board of Directors on policy and strategic issues, as
requested or when he/she deems necessary. Whenever the Board has referred such
a matter to the National Directors Committee for review, ensure that such a review
takes place.
d. Make recommendations to the Board of Directors on important operational matters
requiring their action, including the fielding of assessment teams to explore new
country program presences, the approval of any new country presence, and the
designation of any Lead Member, Coordinator or other appropriate management
arrangements. Between meetings of the Board, the Secretary General may approve,
in consultation with the Chairperson, an emergency response in a country where
CARE has no established presence and authorize an appropriate coordination
mechanism for such new temporary presences.
e. Undertake all preparatory work connected with the establishment of any new CI
Member organisations. Such preparatory work, including a complete feasibility study,
will only be initiated following approval by the Board of Directors. The findings and
recommendations of any such feasibility studies will be submitted to the Board of
Directors, for subsequent action by the CI General Assembly, which must approve
the admission of any new Members.
f. Keep the Chairperson informed of all matters of operational importance and consult
with the Chairperson on all matters affecting the policies of CARE International.
3. Vis-à-vis the National Directors Committee:
a. Serve as Chairperson of the National Directors Committee, ensuring that all matters
referred to it by the Board of Directors are handled in an appropriate and timely
manner.
b. Set the agenda for meetings of the National Directors Committee, in consultation with
the Members, and report on its deliberations and actions to the Board of Directors.
Ensure that all National Directors are provided with all necessary information on all
issues under consideration at the CI level.
c. Authorize the establishment of any official staff-level CI Working Groups, in
consultation with the National Directors Committee, and oversee their functioning
within approved Terms of Reference.
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4. Vis-à-vis the Members of CARE International:
a. Support each Member of CARE International in assessing its organizational health
and capacity and formulating an organisational development plan.
b. Provide, to the extent feasible, any other support or advice requested by the Member
organisations.
c. Ensure that clear criteria and standards for CI membership and operations are in
place, and regularly monitor the performance/compliance of each Member in relation
to those criteria and standards.
d. Ensure compliance with CI standards and other policies as embodied in a regularly
updated CI Code. Work with Members on compliance issues, and refer matters that
can not be resolved in this way to the National Directors Committee or CI Board of
Directors as appropriate.
e. Promote organisational learning by ensuring the flow of information amongst the
membership on best practice in CARE’s areas of work, internal lessons learned and
evaluation findings, and the experience of other organisations in our field.
f. Promote closer cooperation amongst the Member organisations and support the
adoption of common policies and systems that will facilitate such cooperation.
g. Take up disputes between Members (or other constituent parts of CARE
International) when asked to do so by one of the parties and recommend steps to
resolve them. Intervene in such disputes at the direction of the Board or at his/her
own initiative if the dispute is disrupting the smooth functioning of CI.
5. Vis-à-vis the Secretariat:
a. Exercise executive authority in connection with the operations of the Secretariat, so
as to ensure that the work entrusted to it by CARE International’s governance bodies
is completed. This authority includes: i) the appointment of all staff assigned to the
Secretariat, taking into account the qualifications of candidates, geographical
representation, gender, and other relevant considerations. Appointments to the posts
of Assistant Secretary General shall be made by the Secretary General, after
obtaining the approval of the Board of Directors; ii) ensuring the effective supervision
of all Secretariat staff and undertaking annual performance reviews; iii) terminating
the engagement of any member of the Secretariat staff who is not performing his/her
duties satisfactorily, or when this is otherwise deemed to be in CARE International’s
best interest; iv) organising the different services of the Secretariat in the most
efficient manner, in accordance with the decisions of the Board of Directors; and v)
authorizing all expenditures of the Secretariat, working within the overall parameters
of the annual budget approved by the Board of Directors;
b. Act as CARE International’s authorized representative in relation to third parties and
courts of law for all transactions whatsoever, including transactions executed in
notarial form relating to the acquisition, administration and expenditure of the
resources of CARE International.
c. Exercise executive authority over any other functions as may be delegated to the
Secretary General by the Board of Directors, including the management of a shared
emergency response capacity.
6. Vis-à-vis External Agencies and Audiences:
a. Take the lead in the development and management of CARE International’s
relationships with the United Nations system, the European Union, and other
multilateral institutions relevant to the organisation’s mission. In so doing, the
Secretary General will consult with all interested CI Members in the development of
an overall strategy, including any advocacy component.
b. Serve as CARE International’s representative to the Steering Committee for
Humanitarian Response (SCHR) and other groups of sister international NGOs.
c. Serve as CARE International’s primary representative, unless otherwise directed, with
other organisations and official authorities in countries where CARE does not have a
Page 160
d.
e.
f.
g.
h.
Member or operational presence, taking advantage where appropriate of the
knowledge and contacts of Member Boards and/or staff.
Develop strategies for cultivating relationships with potential funding sources in donor
countries where there is no CI Member, incorporating where appropriate a role for
existing CI Members where that makes sense for geographical, historical, or other
practical reasons.
When approached by outside entities offering cash or in-kind donations, make plans
for the appropriate use of such resources, in consultation with CI Members and after
ensuring due diligence, and report on such plans to the Board.
Handle inquiries from prospective host country authorities or partners, referring them
in the first instance to the National Directors Committee. When authorized by the
Board, organize an assessment mission, calling on the participation of interested
Members.
Serve as CI’s primary spokesperson, working to establish and maintain the highest
possible visibility and positive image toward the outside world.
Represent CARE International at meetings or other events where his/her presence is
important to advance its mission. Undertake, wherever possible, other representation
functions at the request of one or more Member organisations, when he/she judges it
to be in CARE International’s best interest.
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Section 7 – CI and the European Union
Section 7 - CARE
International and the
European Union
(These guidelines were agreed to by the Standing Committee of EU CAREs in
June 1994 for an Interim “trial” period of of 12 months)
Page 162
CARE’s Relations with the European Union
1.
CARE must develop and maintain the closest possible relationship with the
European Union, and seek to maximise EU funding for CARE's developmental
and
emergency
programmes.
2.
CAREs who are Members of the European Union are the principal channels to EU
funding. Developmental funds are normally accessed through the EU CAREs
(and exclusively through EU CAREs for co-financing, for example). In recognising
the EU CARE's pre-eminent position in dealing with the European Union, it is
acknowledged that funding, once available to EU CAREs through direct
government developmental and aid programmes, is now being increasingly
channelled to the EU.
3.
CARE’s EU policies and initiatives need to be carefully coordinated to avoid
duplication, and to reinforce CARE's professionalism and credibility in dealing with
the European Union. The CI Secretariat in Brussels, and its EU Liaison Officer,
have a key role in this coordination and cohesion.
EU CAREs
4.
Approaches to the EU for developmental funds are to be made through the EU
CAREs, who will endeavour to accomodate the wishes of non-EU CAREs. The
Secretariat will help in the coordination of these approaches.
5.
With all development projects, the EU CAREs, when approached by other
Members of the CARE family, will retain the prerogative to make programme
judgements based on their own respective criteria (ie: other priorities, nature and
quality of programme proposal, available resources, etc). This "final decision"
factor is especially relevant for co-financing projects bearing in mind that a
significant percentage of co-financing has to come from unrestricted funds of the
EU CARE putting forward the project.
6.
The EU CAREs are also in the forefront of accessing emergency funds from
ECHO (the European Community Humanitarian Office), with whom they are
eligible to have framework agreements.
The Field
Page 163
7.
Country Directors and Country Offices may negotiate directly with EU delegations
on some funding options for development projects. This applies particularly to
small grants funded under the European Development Fund (EDF). However, the
great majority of funding will need to pass through an EU CARE since project
approval is in most cases required by the European Commission in Brussels.
8.
The CI Secretariat should be kept advised of all Country Office initiatives involving
the EU. The Secretariat, in turn, will keep the EU CAREs informed.
9.
The support of the local EC Delegation, and EC Representative is crucial with all
proposed projects, and this relationship should be carefully nurtured.
Standing Committee
10. In view of the requirement for a high level of policy and programming coordination,
the Board has established a Standing Committee of EU CAREs represented by
their National Directors to achieve this end.
11. The Standing Committee is convened by its chairman (the Secretary General)
whenever necessary, but at least once a year.
CI Secretariat
12. The CI Secretariat will support and promote the EU CAREs in exercising their EU
privileges and responsibilities. It will also assist the whole CARE family in taking
account of EU opportunities, and facilitating access through appropriate channels.
13. The CI Secretariat itself is formally recognised by the European Community, and
also has a partnership agreement with ECHO.
CI Emergency Assistance
14. For emergency funding from ECHO, the most rapid access to funds may prove to
be via CAREs with framework partnership agreements. However, every EU
CARE has the right of access to ECHO funds. The Secretariat will assist with the
speedy coordination of submissions to the European Commission.
15. In cases where the European Union itself is initiating an emergency response,
ECHO can be expected to approach whichever framework partner it judges to be
of most relevance in implementing the EU's proposed programme.
16. If requested, the Secretariat will take advantage of its own framework partnership
agreement to access ECHO funds. At all stages it will consult with EU CAREs.
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Coordination
17. In all circumstances, on all occasions, and at all levels, the CI Secretariat in
Brussels should be kept fully advised of communications and initiatives with the
European Union. In this way, cohesion and funding will be maximised, in the best
interests of the entire CARE network and avoiding duplication and overlap.
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Policy on Shared Administrative Costs on
EU Projects
March 2004
Page 166
The Issue
How to ensure that a reasonable and equitable proportion of shared Country Office support
costs are provided where project funding is provided by the European Union (including
EuropAid and ECHO) while ensuring that the “administrative expenses” line item accrues to
the European CARE Member Project Partner?
Background
The European Union is one of the world’s largest institutional donors, and CARE
International receives approximately €25 million on an annual basis. While EU funding has
become increasingly important to Country Offices in recent years, its regulations are such
that it is rare that the EU will fund the full costs of a project. Due to the restrictions placed on
expenses that the EU is willing to fund, Country Offices are often left with a budgetary gap,
thus requiring an additional contribution to the project from other funding sources.
The Policy
In the preparation of each project proposal and budget, the Country Office will identify all
costs required for the implementation of the project including full costs of national and
expatriate staff and a reasonable and equitable proportion of shared Country Office support
costs. All costs will be included in the project budget as specifically identifiable line items.
Prior to submission to the EU donor, the CARE Member Project Partner will agree with the
Country Office the maximum budget amount for the project including staffing costs and a
reasonable and equitable proportion of shared Country Office support costs. The European
CARE Member Project Partner will then be responsible for meeting the agreed maximum
budget either through donor approved line items in the project budget or provision of
restricted or unrestricted funds.
On this basis, one hundred percent of the Administrative Expenses line item should go to the
EU member CARE, as an indirect cost recovery. It will then be determined by the European
CARE Member Project Partner how they will meet their agreed commitment to the project
budget.
Page 167
Section 8 - Emergency
Response Coordination
Interim version*
*This interim version was approved by Excom (June 2011) with the understanding that it will be
revised in FY12 to reflect updates to protocols and policies.
Page 168
Contents
I. Introduction
II. CARE’s Humanitarian Mandate
III. Mandates, roles and responsibilities
IV. CARE’s commitment to International principles and standards
V. Key Protocols
• Emergency Typology (Protocol A2)
• Response decision-making (Protocol C5)
• Emergency Alerts (Protocol B3)
• Capacity Assessment (Protocol C3)
• Emergency Response Funding (Protocol D1)
• Emergency Personnel Mobilization (Protocol D3)
• CI Coordination (Protocol C10)
• Information Management (Protocol D5)
• Emergency Media Coordination (Protocol C9)
Please see CARE Emergency Toolkit for the following CI emergency management
protocols, guidelines and related tools. http://www.careemergencytoolkit.org/home/.
Username: [email protected]. Password: staff.
Page 169
I: Introduction
Responding to humanitarian emergencies is an essential part of CARE’s work to
fight poverty and injustice. We recognize that emergencies are often a cause and an
effect of poverty and injustice and that humanitarian response is a part of enabling
people to realize their rights to live with dignity. Our humanitarian work primarily
meets immediate needs of affected people, while we also strive to address the
underlying causes of people’s vulnerability. Given CARE’s overall organizational
mandate, we have a responsibility as a leader in the humanitarian sector to
demonstrate the highest standards of humanitarian work.
CARE’s approach to its humanitarian emergency work has evolved significantly over
the years, and our Humanitarian Mandate statement (see below) outlines important
aspects of our current approach, in-line with CARE’s program principles. This
includes our belief that local capacity can provide the most effective response to
emergencies, although it is our obligation to respond in a timely, appropriate and
high quality way when local capacity has been overwhelmed and when we can add
value.
Our response approaches include provision of resources, enhancing quality,
committing to longer-term solutions, and strengthening local capacities. We offer a
range of response options such as proving relief directly, working with and through
partners, advocating with local and international bodies, and keeping the general
public informed.
CARE is committed to bring a longer-term view to our humanitarian work, including
supporting people to be less vulnerable to disasters in the first place and how we
often link emergency relief, recovery, and long-term development, and include an
emphasis on disaster preparedness and risk reduction.
CARE's vision, mission and Humanitarian Mandate Statement set CARE's highest
level internal policy for our humanitarian actions. These are supported by
Emergency management protocols, specific key policy issues, and the guidelines
and
tools
provided
in
the
complete
CARE
Emergency
Toolkit
(www.careemergencytoolkit.org). These elements combine to form CARE's
internal humanitarian policy framework. CARE's internal policy framework is
informed by and aligned with international principles, laws and standards for
humanitarian action.
CARE's vision and mission statements establish the core mandate of CARE's work.
Responding to emergencies is central to CARE's vision and mission.
CARE's mission statement clearly highlights ‘delivering emergency relief' as central
to our work. Our emergency work should also seek to strengthen capacities,
address discrimination, influence policy and provide economic opportunity for people
and communities affected by emergencies. CARE's programming principles support
CARE's vision and mission and must be upheld in all of CARE's programmes.
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II: CI’s
This statement articulates CARE's commitment to the humanitarian imperative in
line with its vision, mission, and program principles.
CARE’s humanitarian mandate statement was developed by the CARE International
emergency response working group (ERWG) in consultation with the CI program
working group and national directors’ committee. The statement represents our
organization’s overall guiding policy for its humanitarian emergency work and it will
apply to all country offices, CI members, and other CARE offices.
Goal
1. Responding to humanitarian emergencies is an essential part of CARE's work to
fight poverty and injustice and we recognize that emergencies are a cause and
effect of both. CARE helps people cope with crises through disaster risk reduction,
emergency relief, preparedness and post-crisis recovery.
Objectives
2. The primary objective of humanitarian response is to meet immediate needs of
affected populations in the poorest communities in the world. Recognizing that
people have the fundamental right to life with dignity, CARE also strives to address
the underlying causes of people's vulnerability.
3. CARE is a major force in humanitarian response and has a responsibility as a
leader in the sector to demonstrate the highest standards of effectiveness and
quality.
Principles
4. CARE is a signatory of and holds itself accountable to accepted international
humanitarian principles, standards and codes of conduct, including the Red
Cross/Crescent & NGO code of conduct, the Sphere standards, and the HAP
principles and standards.
5. CARE adheres to the principle of impartiality so that we provide assistance on the
basis of need regardless of race, creed or nationality. CARE is committed to
addressing the rights of men, women boys and girls in times of crisis. 27
6. CARE upholds the principle of working independently of political, commercial,
military, or religious objectives and promotes the protection of humanitarian space.
Approach
7. CARE believes that local capacity can provide the most effective response to
emergencies. However, by their very nature, emergencies often overwhelm local
27
Change proposed by ERWG May 2011
Page 171
capacities, and in such situations CARE will respond in an appropriate, timely and
effective way.
8. CARE will respond wherever we can add value by:




Providing additional resources
Enhancing the quality of response
Committing to longer term solutions
Building local capacities
9. We have a range of response options:




Providing direct relief
Working with and through partners
Advocating with national and international bodies
Keeping the general public informed
10. CARE develops focused expertise both operationally and at the global policy
level in certain specific humanitarian areas.
11. In keeping with our programming principles, CARE develops both local and
international partnerships to strengthen local capacities and to add value through
collaborative approaches.
12. CARE brings a longer-term view to its humanitarian work, including supporting
people [to] be less vulnerable to disasters in the first place. Where appropriate, our
programs link emergency relief, recovery, and long-term development, and include
measures for disaster preparedness and risk reduction.
III:
Mandates, Roles and Responsibilities
Emergency work is a key part of what CARE does. COs, CI members, CEG and
others work together to respond to emergencies as called for by CARE’s
humanitarian mandate, policies, procedures and standards. Having effective
principles, mechanisms and protocols for the coordination of different parts of CARE
to work together during emergency response is a core part of our ability to work
together well during the heat of emergencies. Our shared vision, principles and
values are the ‘glue’ that holds us together.
Who does what
The CO usually carries out the response. The Lead Member manages and supports
the CO in this. The CARE Emergency Group (CEG) oversees, coordinates and
supports the response. CARE often responds together with partners—and
sometimes through a partner rather than directly.
Country Office (CO)
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The CO is responsible for carrying out emergency responses that follow CARE
policies, procedures and standards.
Before an emergency, the CO:
•
•
•
•
•
keeps emergency plans, systems and procedures up to date
works on its capacity to respond to emergencies
watches closely for signs of possible disasters (e.g. emergency alerts, early
warning systems, weather reports, political events)
alerts CI and any other stakeholders to coming emergencies.
When an emergency hits, the CO:
•
assesses the humanitarian impacts, how CARE can help and what other
groups
are doing
•
recommends how CARE should respond
•
honestly assesses its own capacity and asks for any support and advice it
needs to
respond effectively
•
takes part in the CCG decision-making process
•
starts delivering relief on the ground as soon as possible
•
does all it can to keep CARE staff safe
•
follows CARE’s humanitarian accountability standards
•
assesses possible risks from CARE’s response and how to deal with them
(including
the effects of the emergency on existing programmes)
•
develops a response strategy including at least one of CARE’s three core
sectors
•
scales up the response to meet humanitarian needs, drawing on CARE’s
global
capacity
•
manages emergency funds and programmes correctly
•
liaises with donors in country and prepares funding proposals
•
manages the response following CARE policies and procedures (supported by
the
Lead Member, CEG and others)
•
gives CI Members information, updates and reports promptly and as needed
•
works out key advocacy messages (with the Lead Member and CI)
•
represents all interested CI Members in the response on the ground.
Lead Member (LM)
The Lead Member acts for CARE as the CO’s line manager. It is responsible for
making sure the emergency response meets CARE standards.
Lead Member line management
The Lead Member line manager (regional director for CARE USA; head of
operations for CARE Australia and CARE Canada):
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•
•
•
•
makes sure the CO plans and prepares for emergencies
is part of the CCG and helps with decision-making and advocacy messages
makes sure other Lead Member units help the CO
keeps CEG and other parts of CARE informed and asks them for help when
needed.
Note: The RMU plays a Lead Member line management role for CARE USA COs. It
also provides support (but not line management) for other COs.
Lead Member emergency unit
•
•
•
•
•
Coordinates emergency activities of all Lead Member units.
Takes part in the CCG and other decision-making.
Helps the CO and Lead Member line management with emergency preparedness
and response.
Works with the Lead Member HR unit to get the right people in place and help
the CO and Lead Member build capacity.
Represents the Lead Member in the ERWG and helps strengthen CARE-wide
emergency capacity.
Lead Member fundraising, communications and external relations
•
•
•
•
•
•
Makes sure CARE raises enough funds from private donors to support the
response.
Handles communications outside CARE and fundraising appeals to the public.
Helps put together key advocacy messages.
Raises the profile of the humanitarian needs identified by the CO.
Is the CO’s first line of support on media and information issues (with the
COMWG and the CI MCC).
Lead Member human resources
•
•
•
Keeps the emergency personnel roster updated regularly.
Engages international emergency staff to support the response (with the CEG
HR coordinator). This includes proper orientation and debriefing.
Works with emergency teams to help build capacity in the CO and Lead
Member.
Lead Member safety and security
•
•
•
Helps assess safety and security in emergency operations.
Takes part in all key decisions involving security. The Lead Member security
Gives technical help to the CO and regional offices. Identifies safety/security
staff who can provide advice on the ground where needed.
Lead Member programme management
•
Provides technical support for CO programmes, especially for programme
quality, management of programmes and contracts, and relations with key
donors.
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•
Supports fundraising through bilateral (individual governments) or multilateral
(multinational, e.g. EU, UN) donors.
Lead Member finance and administration
•
Helps the CO with budgets, cash flow and contract management.
•
Helps the CO with international emergency procurement when needed.
•
Makes sure the CO has the right financial and administration systems (with
the line management and emergency units). Provides technical advice and other
help with effective and accountable management.
Other CARE International Members (CIM) / CARE Member Partners (CMP)
Other CI Members support emergency operations by helping with things like:
•
submitting proposals to donors, lobbying for funding and managing project
funding
•
talking to the media, promoting advocacy issues and making fundraising
appeals to the public (with the Lead Member and COMWG)
•
finding emergency staff and technical advisers for the CO
•
participating in EWRG and COMWG
CARE Emergency Group (CEG)
CEG coordinates and oversees the emergency response on behalf of CI Members.
CEG is part of the CI secretariat in Geneva, and has RECs in the field. Its staff can
provide support from Geneva or help directly with operations in the field.
CEG’s role in an emergency includes:
•
coordinating decision-making about the response
•
advising the Lead Member and the CO on managing response operations,
logistics, quality and accountability, HR, media and information, advocacy and
fundraising
•
helping CARE members coordinate their contributions
•
ensuring the highest levels of quality and accountability.
Between emergencies, CEG:
•
•
helps Lead Members and COs with emergency preparedness
helps CARE as a whole develop its capacity to deal with emergencies.
CEG is led by the CI Humanitarian Director (HD), whose role is to coordinate and
oversee the emergency response during its acute phase. The HD:
•
chairs the Crisis Coordination Group
•
manages allocation of funds from the CI ERF
•
can call on all member resources
•
is a key part of all operational and strategic decision-making
•
monitors the quality of the response and takes part in evaluation
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•
can raise disputes or issues related to the emergency response for the CI
Secretary General to resolve
•
can coordinate assessments and start programmes where CARE does not
have a CO.
The CCG decides when CEG should stop being directly involved in the emergency
response. This will usually follow the AAR. CEG is not usually involved in chronic
emergencies except at crisis points or in contingency planning.
CARE International Safety and Security Unit (CISSU)
CISSU is responsible for staff safety and security policy and standards for CARE as
a whole. It oversees, monitors and supports CI Members and COs in carrying out
policies and meeting standards. It also provides training and technical advice and
helps during crises.
CISSU is part of the CI secretariat in Geneva. The CISSU director can raise any
issues or decisions with the CI Secretary General.
Crisis Coordination Group (CCG)
The CCG is a group of senior managers that forms at the start of an emergency to
make decisions and manage the emergency response at a high level. Its members
are usually the:
•
•
•
•
•
•
•
CI Humanitarian Director (as chair)
CD
Lead Member line manager of the CD
head of the Lead Member emergency unit
Lead Member safety and security director, when needed
CISSU director, when needed
CI Head of Emergency Operations
The CCG reviews the type and scale of the emergency and the security situation. It
agrees on the CARE emergency type and decides whether and how CARE will
respond and what support the CO needs. During the response the CO and Lead
Member should refer any other critical decisions to the CCG. If CCG members
cannot agree on something, the CI HD can make the decision or refer it to the CI
Secretary General.
Emergency Response Working Group (ERWG)
ERWG is CARE’s global humanitarian policy group. It is responsible for developing
and overseeing policies, strategies and standards to strengthen emergency
capacities and capabilities throughout CARE International. It monitors our
accountability to policies and standards and to disaster-affected communities,
Page 176
donors, partners etc. ERWG is responsible for promoting and supporting interddependent approaches, integration, harmonization, and coordination of
humanitarian work throughout CARE International. ERWG ensures adequate
linkages with the Programs and Operations on issues such as quality standards and
policy development.
ERWG acts as a reference group to CEG and emergency units of CI members. It
does not manage actual emergency response operations. ERWG usually convenes
twice per year (virtually or face-to-face) and has conference calls to share
information during emergencies.
ERWG represents the primary CI-wide forum for bringing emergency professionals
together from across CARE and is an important forum for sharing information,
working on common issues, and so-on.
ERWG includes representatives of all CI Members who are involved in emergency
work, plus field (CO) representatives and the selected members of CEG. The
ERWG representative is their CI Member’s first point of contact on emergency
responses.
Communications Working Group (COMWG)
COMWG coordinates media and communications work across CARE. It includes
representatives of all CI Members, and is chaired by the CI media and
communications coordinator.
During an emergency COMWG circulates sitreps, media releases and advocacy
messages to all CARE media and communications teams. It helps get media
coverage, make fundraising appeals and ensure consistent media messages worldwide. It can also help the Lead Member with press officer support to the CO.
All requests for media support should go through the Lead Member’s COMWG
representative or the CI MCC.
Figure 5: Member Responsibilities in an Emergency
At a glance: This table summarises what the different parts of CARE are responsible
for in an emergency.
Country Office
Lead Member
Strategic
planning
Responsible
Manages
supports CO
and Participate
Monitors,
oversees
and supports
Preparedness
Responsible
Manages
supports CO
and Participate
Monitors,
oversees
and supports
Early warning Responsible
and alert
Manages
supports CO
and n/a
Monitors
oversees
Other members
CI Emergency Group
Page 177
and
Country Office
Lead Member
Other members
CI Emergency Group
Coordinates
CI monitors
Response
decisions
Recommends
Decides
State
decisions
Participates in the interests
Participates in the CCG
CCG
their Oversees
and
approves decisions
Coordinates the CCG
Response
management
Responsible
CI
coordination
Participates
supports
Fundraising
Prepares
programme
fundraising
strategy
Manages
supports CO
and Participate
support
and Oversees,
coordinates
supports
and Participates
Manages
supports CO
Participate
and support
and Manages
Responsible
for Responsible for Oversees,
and Lead
Member CI
Member coordinates
fundraising
fundraising
supports
CI marketing
Supports
CO Support
CO coordinator)
Responsible for fundraising
fundraising
CO
fundraising
and
in-country Sets
fundraising
donor liaison
target with CO
and
and
(with
Prepares
proposals for CI
Member
fundraising
Monitoring and Responsible
evaluation
Conducts AAR
Manages
and Participate
and Monitors,
oversees
supports COs
support
and supports
Advise on donor
rules
Information
and reports
Responsible
Manages
supports CO
and Participate
Monitors,
oversees
and supports
Media
Prepares
strategy
media Manages
supports CO
and Participate
Responsible
for
ensuring support
Coordinates COMWG
Provides
information,
photos
interviews
Responsible
for
providing
media
and support
Page 178
Staff and
technical
support to CO
(in all
functional
areas)
Country Office
Lead Member
Other members
CI Emergency Group
Updates capacity
assessment
Responsible for
staffing from the
CI RED and
elsewhere
Support in
specialised areas
if needed
Responsible for
ensuring staffing
Coordinates the
CI RED
Contributes to
CI ERF
Provides additional
start-up funds if
possible
Contribute to
CI ERF
Approves CI ERF
allocations
Manages and
supports CO in
establishing supply
chain
Support
specialised
procurement if
needed
Oversees and
ensures support
Advises on
international logistics
and procurement
Support in
specialised areas
if needed
Oversees
Recruits local
staff
Identifies other
staff needs
Start-up
funding
Prepares funding
request
Manages and
reports on use of
funds
Procurement
of supplies
Responsible for
local supplies
Requests
international
supplies
Responsible for
international
procurement
Emergency
management
tools
(manuals,
systems, kits
etc.)
Identifies needs
and requests
tools
CARE policies,
procedures,
standards etc.
Complies with
policies and
procedures
Ensures CO
compliance
Helps CO get tools
Uses and applies
tools
Contributes to
development
Contributes to
development
Contribute to
development
Contributes to
development
Contribute to
development
Responsible for
specific areas
Responsible for
specific areas
Ensures tools are
provided
Coordinates
development
Responsible
Coordinates
development
Provides
feedback
Page 179
IV:
CARE’s Commitment to International principles and
standards
CARE is committed to uphold common international humanitarian principles and
standards.
1. Code of conduct
The Code of Conduct for the International Red Cross and Red Crescent Movement
and NGOs in Disaster Relief provides a common code of conduct for organisations
working in emergency response.
2. International law
CARE is committed to upholding and promoting international legal frameworks,
including Human Rights Law and International Humanitarian Law. The rights of
people affected by emergencies are enshrined in bodies of law including the:

Universal Declaration of Human Rights (outlines basic human rights standards
including the right to life with dignity for all people), which is the foundation for two
binding UN treaties: the International Covenant on Civil and Political Rights; and the
International Covenant on Economic, Social and Cultural Rights

International Refugee Law (defines the rights of people who cross
international borders to seek asylum. The Guiding Principles on Internal
Displacement describe the responsibilities of states towards the rights of displaced
people within their own country. However, under international law they are legally
non-binding.

International Humanitarian Law (establishes the rights and obligations that
apply in conflict situations in particular the rights of non-combatants in conflict
situations)

Convention on the Elimination of All Forms of Discrimination against Women
(CEDAW)

Convention on the Rights of the Child.
CARE should always uphold these international laws and principles in our own
programmes, and advocate to uphold these laws where the rights of people affected
by emergencies are being denied.
3. Common humanitarian standards
CARE is committed to uphold common internationally agreed humanitarian
standards, most notably those set established by Sphere, the Humanitarian
Accountability Partnership and People in Aid. CARE has developed a Humanitarian
Accountability Framework that integrates these common standards.
Page 180
V:
Key Protocols
Protocol A2: Emergency Typology
CARE monitors all emergencies in countries where we have a CO. We respond to:


all emergencies in areas where the CO currently operates
all major emergencies in the country
In countries where CARE has little or no presence, we consider responding to all
major emergencies. We normally respond only in countries with limited local
capacity (developing countries).
Guided by CARE's humanitarian mandate we base decisions about emergency
type on:

Humanitarian need: total number of people affected, number of people
severely affected and amount of physical damage

Humanitarian response service gap: the gap between needs and local
capacities (outside CARE) to respond.
1. CARE emergency types
There are three types of emergencies that CARE may respond to:

Type 1. Small to medium emergency in a country where CARE has a CO. The
service gap is manageable, so the CO would need little support from CI.

Type 2. Major emergency in a country where CARE has a CO. There are
major service gaps where CARE could add value. CI would need to provide a lot of
support.

Type 3. Major emergency in a country where CARE does not have a CO.
Note on type 3 emergencies
CARE needs an Lead Member/coordinator for the country before it can start
responding. The CI Secretary General appoints this coordinator as soon as possible
(in consultation with the CI HD and CI Executive Committee). CEG and the Lead
Member/coordinator manage the first steps in a type 3 response).
The CCG determines the emergency type in a conference call. (If the impact of the
emergency is limited and a service gap is unlikely, the CCG may not assign an
emergency type or consider responding). The CCG should let all parts of
CARE know its decision and reasons. Emergency type can be revised if the
situation changes.
Page 181
Figure 6: What determines emergency type?
This table shows the factors the CCG usually considers when it determines
emergency type.
Total number of people
affected
Type 1
Type 2
Type 3
Typically
1,000 to
100,000
Typically more
than 100,000
Typically more
than 500,000
Typically
1,000 to
30,000
Typically more
than 30,000
Typically more
than 100,000
Limited
Significant
Significant
Some gaps.
Local capacity
may become
overwhelmed.
Significant
gaps. Local
capacity is
overwhelmed.
Significant
gaps. Local
capacity is
overwhelmed.
Weight this number based
on severity of effects.
Number severely affected
Dead, at immediate lifethreatening risk, or
displaced.
Estimated scale of
physical damage
To housing and critical
infrastructure.
Humanitarian response
service gap
Local non-CARE capacity
to respond.
How emergency type affects the way CARE manages the response
Type 1: CEG will help as needed. The CO can still expect priority support from CI,
especially for fundraising.
Type 2: The CO needs to scale up its operations. It can expect a lot of support and
resources from CI. Senior managers will be closely involved- including the CI HD.
These emergencies need an AAR. The CO still leads the response - CEG will not
rush in and take over, but will provide close monitoring and support.
CARE's emergency management protocols must be followed in both type 1 and type
2 emergencies.
Protocol C5: Response decision making
1. Purpose
This protocol tells you how CARE makes key decisions about an emergency. These
are:

what type of emergency it is (1, 2 or 3 - see protocol A2)
Page 182



whether we will respond (yes or no)
how we will respond (see the box below)
any major changes to our response
How will CARE respond?
This includes:



key interventions and overall strategy
our fundraising target
who will carry out the response on the ground (CARE directly, CARE directly
with a partner, or another group with support from CARE)

key policy and advocacy issues

people, equipment and funds the CO needs from CI

how we will share information: frequency of sitreps, communication lines
2. Policy
Who makes the decisions?
Everyone in CCG should agree on decisions if possible. If the whole group cannot
agree, the CI HD can decide. (This is because they are in charge of CARE's overall
response to emergencies.)
How do they decide?
To decide whether and how to respond, CARE looks at:


how serious the emergency is (see protocol A2 for how we decide this)
the humanitarian service gap- how well agencies other than CARE can look
after the people who need help (see protocol A2 for how we decide this)

whether this is part of our humanitarian mandate

CARE's capability to deliver prompt and adequate relief- staffing, funds,
logistics etc.
When do they decide?
A good response is one that helps people as soon as possible. So CARE must
make its key decisions as quickly as possible. This means:

Sudden emergency in a country where CARE has a CO: within 24 to 48 hours
after the emergency begins.

Emergency in a country where CARE does not operate: as soon as there is
enough information to decide.

Emergency that starts slowly: in response to early warnings or EPP triggers.

Chronic emergency: in response to a spike in humanitarian needs or a critical
event.
The Country Office should respond as soon as possible when a response is
clearly needed. Do not wait for CCG decisions before you act to save lives.
Response decisions need to be based on good judgment and the information you
can get at the time. They do not have to wait for detailed information.
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Protocol B3: Emergency Alerts
1. Purpose
This protocol tells you how to alert CI about a coming humanitarian emergency.
2. Policy
Why alerts are important?
Emergency alerts are important to:


alert the Lead Member and CEG to get ready to help with the response
alert CI Members to get ready for fundraising and media activities to support
the response.
Note: Often the first agency to provide information to donors and the media is the most successful
at raising funds!
Read the signs
Watch closely for emergency risks and triggers. These should be identified in the
COs EPP and early warning processes.
Immediately alert CEG and Lead Member managers
What ‘immediately' means depends on how much warning you get before the
emergency hits.
For emergencies that start slowly (like food shortages from drought) or with a little
warning (like tropical storms), send an alert as soon as either the CO EPP triggers
indicate a need to respond or national/international early warnings show that a
humanitarian crisis is likely (e.g. the storm is about to hit).
For emergencies with no warning (like earthquakes), send an alert as soon as you
know the event has happened.
Sometimes the REC, CEG in Geneva or CI Emergency Monitors are the first to
know of a coming emergency. They will alert the CO. The CO must then
immediately check what's happening and send a CI emergency alert if needed.
Sending an alert doesn't mean the CO or CI must respond
See protocol C5 for how CARE decides whether to respond.
Send an alert for any emergency where local response may not be enough
This means any emergency likely to cause humanitarian needs that local groups
may not be able to cope with. See protocol A2 for more on this. Ask CEG for
advice if you're not sure.
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Protocol C3: Capacity Assessment
1. Purpose
This protocol tells you how to quickly assess your CO's capacity to respond to an
emergency. The capacity assessment shows what gaps CI needs to fill for CARE to
respond effectively.
2. Policy
COs- with help from CI- must be able to meet CARE's standards for effective
emergency response
Find and deal with any gaps in this capacity


at the start of a major emergency
when you review your response to the emergency.
You can use CARE's capacity assessment form at any time to check your
capacity to cope with an emergency. It's a quick way to find out what you are ready
to deal with and where you have serious gaps.
Fill in the capacity assessment form within 48 hours after the emergency alert
Email it to CCG members. With the CO, they use this form to decide what CARE
needs to do to fill any gaps. The Lead Member or CEG may also do their own
assessment of the CO's capacity. In line with CEG's oversight role, it can make
decisions on filling capacity gaps if there is disagreement.
Protocol D1: Emergency response funding
1. Purpose
This protocol provides summary guidance to COs for the application, allocation and
use of the CI ERF mechanism.
2. Policy
The CI ERF aims to provide sufficient funds in a timely manner with which to
mobilise effective, timely and appropriate emergency assessment and response
field operations by CARE International for humanitarian emergencies.
The CI ERF is a single, shared, pooled fund belonging to all CI members and is
available for use by all COs. The fund is managed by the CI Emergency Group
(CEG) for all CI members. Funds may be used in any country where CARE is
present, plus in predetermined non-presence countries.
Page 185
Country Offices may apply for ERF allocations to support start-up and assessment
during the first three months of response according to CI ERF policies and
procedures.
Allocation levels: €20,000 minimum; +/- €150,000 for large emergencies; €300,000
maximum.
Allocations for emergencies apply guidelines for use, criteria, and expectations of
COs for rapid and quality response (see CI ERF policies and procedures and
additional guidance at Chapter 14 Funds Mobilisation). Each allocation requires a
minimum leverage target of 1:6 in terms of the overall funds raised for that
emergency and reimbursement is encouraged but not required in all cases.
Standard formats should be used for requests and reporting. Country Offices and
their Lead Members are responsible for managing funds once they have been
allocated.
Protocol D3: Emergency Personnel Mobilization
A. Purpose
This protocol describes the process of mobilising and deploying skilled personnel
during emergencies.
B. Policy
During the start-up of emergencies, COs should rapidly assess their staffing needs
and capacities, and identify gaps. Emergency human resources management
systems should be activated in the CO to enable effective and timely staff
recruitment.
If the CO needs additional capacity, it can request staffing support through the Lead
Member Human Resources Department and the CI Emergency Group (CEG) HR
Coordinator. CI's emergency staffing support systems include full-time deployable
emergency field specialists, a global CI-RED (roster for emergency deployment) and
region-based emergency coordinators (REC).
Protocol C10: CI coordination
A. Purpose
This protocol provides guidance on the overall coordination among CARE
International Members during an emergency.
Page 186
B. Policy
CARE International Members, COs, Lead Members and the CI Emergency Group
(CEG) must have coordinated and complementary actions to support a consistent
and optimal emergency strategy and overall response. Poor CI coordination will
result in duplication of effort, unfilled gaps, inefficiency and internal conflict.
The CO, supported by its Lead Member, is responsible for ensuring that its
response to an emergency is coordinated with the CI membership in line with this
and other protocols.
CEG's responsibility is to work with the CO and Lead Member to establish and
maintain appropriate CI coordination mechanisms during an emergency. The CEG
Humanitarian Director (HD) has overall responsibility and authority over CI
coordination during emergencies.
Protocol D5: Emergency information management
A. Purpose
This protocol describes the steps to follow to ensure that accurate information
reaches all appropriate levels in CARE to inform critical decisions and mobilise
support in an emergency.
B. Policy
Information is essential to manage an effective response, mobilise resources and
support across CARE, and for efficient coordination among CARE International
Members, donors, government and other humanitarian agencies.
Country Offices, in coordination with the Lead Member and CI Emergency Group
(CEG), are responsible for ensuring effective information management systems
during emergencies.
Protocol C9: Media management
This protocol lists necessary steps to ensure an appropriate CARE media response
during an emergency.
A. Purpose
This protocol lists the steps required to ensure an appropriate CARE media
response during an emergency.
B. Policy
Page 187
Effective media management is essential to develop a clear public understanding of
the need to support the emergency and of the logic behind CARE's response.
Country Offices, CARE International Members and the CI Emergency Group (CEG)
are responsible for ensuring that effective media management mechanisms are
established for all significant emergency responses. It is critical for mobilising public
support, fundraising, and for protecting CARE's image from distortion and
misinterpretation.
CARE's media activities are guided by the CARE International code and CARE
International Member policies related to the release of public materials. CARE's
media activities are also guided by the ‘Code of conduct for Red Cross/Crescent
and NGOs in disaster relief'.
Page 188
Section 10 – Advocacy
Section 9 - Personnel
Policy & Guidelines
Previous Expatriate Personnel Policy deleted as obsolete. New section to be drafted.
Page 189
Section 11 – Conflict Resolution
Section 10 Advocacy
Approved June 2011
Page 190
Advocacy Procedures and Sign-offs
A. Definitions
This paper describes the processes that guide and support coordinated advocacy, conducted
jointly or separately by multiple parts of CARE International, around issues, events and
programmes that the CARE International membership identifies as mission-critical or
otherwise of current priority 28.
Advocacy is the deliberate influencing of policy and its implementation by international and
national level institutions or organizations so as to support tangible improvements in the lives
of the poor and marginalized. It is a means by which CARE helps to raise the voices of the
poor and defend their dignity.
Advocacy is often supported by “positioning” – usually through the issuing of public
statements and policy papers– which are public expressions of our perspective on an issue
or an event. “Talking points” are an aid to spoken communication on or around CARE’s
advocacy and related statements.
B. Advocacy in CARE International
CARE’s advocacy can be focused on changing a broader policy agenda or on changing the
approach taken by policy makers on a particular issue within that agenda. Our advocacy is
rooted in our program experience and necessarily is supported by clear policy objectives,
research and analysis. The tone we take in our messaging is serious, authoritative and
generally non-confrontational.
Ordinarily, there are three different categories of advocacy, which are described below. Note,
however, that the extent of global advocacy activity taking place at any given time is
determined by available capacities at the CI member and country office levels.
1. Coordinated CI-wide advocacy conducted in support of CARE’s country office programs
and/or events in relation to countries in which CARE has a presence.
At any given time, most CI country offices are routinely engaged in advocacy in support
of their programs. However, there are occasions when it is advantageous or necessary
for CI to undertake coordinated global advocacy in support of our country programmes or
in relation to events taking place in countries where we maintain a presence. These may
28
CARE International is defined as the sum of the CARE International membership, its country offices,
and the Secretariat and its sub-offices. In this paper, CARE International, CI, and CARE are used
interchangeably.
Page 191
be short-term responses to local crises, or longer-term initiatives which seek to address
more systemic causes of poverty. On these occasions, it is the responsibility of the
country office, with support from the lead member, to lead the development of CI’s
advocacy objectives, policy positions and advocacy messages, and in doing so to ensure
that all CI members participating in the country program are sufficiently consulted. The
Secretariat can support the country office and lead member in meeting these
responsibilities, especially in cases where there is increased CI member interest in the
country program, or when events are receiving high levels of media attention and/or are
unfolding very rapidly.
In some complex emergencies or other instances, potential controversy or other possible
consequences arising from CARE’s proposed advocacy and/or public positioning may
justify a more formal consultation with all CI members. Note, however, that any advocacy
(and related positioning) by CARE conducted in support of country office programmes,
and/or around events and issues at the country office level, by definition require the sign
off of the Country Office Director and his/her line manager 29.
With policy positions and objectives agreed and advocacy messages developed, CI
members engaged in the country programme will identify opportunities to communicate
these to relevant audiences in their national contexts. In cases of high humanitarian risk
and/or international interest, ideally all CI members will engage in this way. The
Secretariat, as capacities and opportunities allow, will do likewise for UN and EU
institutions in Geneva, Brussels and New York.
This coordinated advocacy will be supported by the issuing of public statements and
talking points, as appropriate, through the Communications Working Group (COMWG).
Again, the country office and lead member is responsible (with support from the
Secretariat as appropriate) for ensuring that such statements and talking points are
produced in a timely manner, thereby enabling the CI membership to maintain an
appropriate presence in debates relating to CARE’s advocacy priorities.
Advocacy activity conducted by CI members and the Secretariat will be reported to the
country office line manager, which will provide the wider membership with periodic
updates on progress and achievements. As before, and as appropriate, the Secretariat
will assist the lead member in this process.
2. Advocacy conducted in relation to global events or issues.
This level of advocacy, which is usually a longer-term undertaking, follows a process
similar to that outlined above for advocacy conducted in support of CARE’s country office
programmes or around events at the country office level.
Based on proposals received from CI members and country offices, the Advocacy &
Media Communications (AMC) Subcommittee will identify time-bound opportunities for
CARE to influence global events or priority issues that bear directly on causes of poverty
and humanitarian suffering and which our analysis shows should best be addressed at
29
See Part C of this paper for “sign off” procedures that support the development of advocacy messaging and
positioning.
Page 192
the global level. Examples of events could include a meeting of the G-8 or the
International Women’s Day. Examples of issues could include climate change and the
food price crisis.
Opportunities identified will be recommended by the AMC Subcommittee to the CI
Executive Committee, along with an advocacy coordinator for the global event or issue –
“Coordinator” (usually a CI member, more rarely a country office or the Secretariat),
which will take responsibility for leading coordinated advocacy in response to the given
event or issue. In order to maximize our impact and avoid our becoming spread too
thinly, CI would not ordinarily implement more than a limited number of these initiatives of
coordinated advocacy at any one time.
Following formal approval by the Executive Committee, the Coordinator works with other
interested CI members to develop an advocacy strategy -- which will include policy
positions, research and analysis needs, critical path, etc. – and an action and resourcing
plan for the strategy 30. The Secretariat will support the Coordinator in this process.
Through the action plan, CI Members and country offices will commit to undertake
advocacy and communications that is appropriate to their national contexts and
capacities. For its own part, the Secretariat will do likewise for UN and EU institutions in
Geneva, Brussels and New York.
This coordinated advocacy will be supported by the issuing of public statements and
talking points, as appropriate, through the Communications Working Group (COMWG),
and reflected in other CI member communications. Again, the Coordinator is responsible,
with support from the Secretariat and other interested CI members and country offices,
for ensuring that such statements and talking points are produced in a timely manner,
thereby enabling the CI membership to maintain an appropriate public presence in
relation to important events and issues.
The Coordinator will monitor and document the implementation of these advocacy and
communications commitments, and will provide the wider membership with periodic
updates on progress and achievements. A report summarizing the initiative – its activities
and achievements -- will be prepared and circulated by the Coordinator once the
advocacy activity is considered complete.
3. Advocacy conducted in response to rapidly unfolding or unexpected events that occur at
the global level or in countries where CARE has no presence
From time to time, CARE is faced by rapidly unfolding or unexpected events either in a
country where it has no presence (e.g. an earthquake), or at the global level (e.g. a
summit of world leaders convened to address a global crisis), upon which the CI
membership may wish to express a public position. In such cases, the Secretary General
or a CI member requested by the Secretariat will lead a process of rapid consultation with
30
See Part C of this paper for “sign off” procedures that support the development of advocacy messaging and
positioning.
Page 193
other CI members in order to formulate a CARE statement and/or talking points, which
will be circulated to the CI membership through COMWG 31.
C. Advocacy sign-offs in CARE International
The previous section described how CARE develops and implements coordinated or joint
advocacy in a variety of situations. What follows is a description of the permissions, or “signoffs,” that need to be obtained during this process. Sign-off procedures are an important way
to ensure that the safety and security risks to our country office staff, the risks to our
operations, and the sensitivities of individual CI members have been taken into account in
our advocacy. They are also a means of managing the legal and reputational risks (which
can arise from both the tone and content of our messaging) and improving the quality as well
as the policy coherence of our advocacy efforts.
Note however that these sign-offs are not restricted to the type of coordinated or joint
advocacy outlined above. All advocacy conducted in CARE – whether conducted individually
or jointly -- has the potential to affect other parts of the organization. It is therefore important
for all advocacy in CARE to comply with a single set of sign-offs. The sign-offs apply both to
public and private advocacy. Although the risks associated with the latter are somewhat
lower, it is prudent to assume that our private advocacy could inadvertently (or otherwise)
become public. Only advocacy messaging and positioning across CARE taking place within
existing, approved policy (whether CI or CI member or country office) does not require signoff.
Sign-off will be guided by the following:
1. Does the potential exist for impact on country office operations, including the safety and
security of staff?
Advocacy or positioning that contains substantial reference to a country in which CARE is
operating, or which concerns CARE’s operations in those countries, must be signed-off
by the country office director and his/her line manager. CI members may request and/or
the Secretariat may offer to work with the country office and its line manager to modify
the advocacy position, but country office and line manager sign off must always be
obtained in these cases.
2. Does the advocacy or positioning contain sensitive or potentially controversial messaging
concerning another CI member or aspects of its national operating environment, such as
the national government or private sector?
Advocacy or positioning that contains sensitive or potentially controversial messaging
concerning another CI member or its national operating environment (government,
private sector, etc.) must be signed-off by that member’s national director.
31
Again, see Part C of this paper for “sign off” procedures that support the development of advocacy messaging
and positioning.
Page 194
3. Is the advocacy or positioning potentially controversial for CI?
Any advocacy or positioning that contains sensitive or potentially controversial messaging
should be referred to the Secretariat. The Secretary General 32 consults with CI members
to develop CI’s advocacy position. Approval of advocacy or positioning is obtained with
the support of three quarters of CI members.
If there is a minority of CI members which dissents strongly from the approved advocacy
or positioning, they may appeal to the Secretary General, who will then determine if vital
interests of CARE International are at stake. In doing so, the Secretary General can seek
to reduce the areas of disagreement and/or footnote the advocacy or positioning to the
effect that certain CI members have abstained from or chosen not to endorse its content.
4. Is the advocacy or positioning being conducted in the name of CARE International?
If the answer to this question is ‘yes’, then the advocacy messaging or positioning must
be signed off by the Secretary General.
5. Is the advocacy or positioning targeted at a multi-lateral institution or partner (UN, EU,
World Bank, etc)
Substantive advocacy messaging or positioning that targets a multilateral institution must
be signed off by the CI Secretary General or Deputy Secretary General. In the case of
controversial policy, messaging or positioning that targets the European Union, additional
sign off is required by the majority of the European CARE national directors. If a minority
of European CAREs dissents strongly from the approved advocacy or positioning, they
may appeal to the Secretary General, who will then determine if vital interests of
European CARE members are at stake. In doing so, the Secretary General can seek to
reduce the areas of disagreement and/or footnote the advocacy or positioning to the
effect that certain European CAREs have abstained from or chosen not to endorse its
content.
6. Does the advocacy concern subject matter that is the acknowledged specialization of
another member of CI (for example, a CI Centre of Expertise) or an issue that CI has
agreed to address as a coordinated CI global advocacy initiative?
If the answer to this question is ‘yes’, CI Members should consult with the national
director (or designate) of the specializing CI member, or in the case of an issue agreed to
be addressed through coordinated CI global advocacy, with the CI advocacy coordinator
for that issue 33, as well as with the CI Secretariat Head Global Advocacy.
32
The Secretary General may delegate authority for the sign-offs contained in this paper to senior staff in the
Secretariat (Head Global Advocacy, Deputy Secretary General).
33
See Part B.2.
Page 195
Section 11 - Conflict
Resolution
June 1994
Page 196
CI Conflict Resolution Guidelines
I.
Conflicts, disputations and misunderstandings between CARE Members should be
identified and resolved as quickly as possible.
II.
Problems and disagreements must not be allowed to fester; they should be tackled at
source with tolerance, expedition and pragmatism.
III.
The following guidelines apply to conflict resolution within CARE International:-
IV.
A.
every effort to be made to resolve the dispute at the level at which it has initially
arisen;
B.
if it is a field/Country Office problem, the next stage in seeking resolution should be
through the relevant CARE Member(s) or Lead Member(s);
C.
in the event that such problems cannot be satisfactorily resolved between CARE
Members, or where a dispute directly involves CARE Members, then the matter(s)
should be referred to the Secretary General;
D.
the Secretary General and the Secretariat will arbitrate and mediate in an attempt to
find a solution that is acceptable to all parties, and within the letter and spirit of the
CARE Code and operational guidelines;
E.
the Secretary General and the Secretariat will give priority to such internal
problems, and will act promptly (especially where arbitration and rulings become
necessary in emergency situations);
F.
CARE Members will cooperate in the adjudication process, and in the Secretary
General's endeavors to achieve agreement and compliance. Where applicable
under CI rules, this could also include proposed findings on restitution;
G.
CARE Members will support the Secretary General's arbitration role. However, to
finally determine and facilitate a resolution, the Secretary General will, when
necessary, turn to the Chairperson of the Board;
H.
the CI Board itself will only become involved as a very last resort.
In addition to resolving specific disputes, the Secretary General and the Secretariat
should maintain an overall monitoring brief in regard to the CI Code, and also provide
monitoring and mediation assistance in particular instances as mutually requested by
CARE Members.
Page 197
Section 12 – Media and Communications
Section 12 –
Media and
Communications
Previous “CARE & the Media” deleted as obsolete. New section draws on content of previous hapter,
current COMWG TOR, media training module, relevant sections of newly completed CI
Communications Handbook (under preparation by COMWG) and cross reference chapter 9 Advocacy
Procedures and Sign-offs.
Page 198
Overview
All CARE communications and media work are subject to the procedures and protocols
outlined in the CI Communications Handbook and the CARE Brand Identity Standards.
Effective communications about CARE’s work requires not only media/communications
specialists, but also the support of all levels of the organization including headquarters,
regional offices, country offices and sub-offices. Specific roles and responsibilities of CARE
offices regarding media and communications are explained in Chapter 5 of the CI Code.
The CARE International Communications Working Group (COMWG) is a working group that
includes all communications, media, public relations, editorial writing, information, and online
communications staff across CARE International. Coordinated by the CI Media and
Communications Coordinator, COMWG’s mission is to coordinate communications across all
CI members and country offices to ensure CARE speaks with one voice to effectively
communicate CARE’s development and humanitarian mandate to the public. COMWG seeks
to maintain and build CARE’s reputation as a well-known, transparent and respected agency
fighting global poverty, and create an environment where all CARE staff have the knowledge
and skills needed to communicate CARE’s vision and mission to the public.
The CI Secretariat, in coordination with COMWG and relevant stakeholders, is responsible
for setting and implementing global media and communications policies and training modules
within CARE and developing and maintaining standard communications materials for use by
the CARE confederation. The CI Media and Communications Coordinator provides
coordination of CI-wide media work, particularly in support of the CI secretariat’s
humanitarian emergency, advocacy and representation functions, and within the broader
context of promoting and supporting CARE’s global vision, mission and the objectives of the
CI strategic plan.
Principles and Procedures for Communications and
Advocacy
This section 2 is extracted from a joint communications/advocacy chapter in the CI
Communications Handbook. The complete advocacy procedures and sign-offs are presented
in Chapter 9 of the CI Code. Thus, in case of need for guidance concerning advocacy,
please refer to Chapter 9.
2.1 INTRODUCTION
Communications and advocacy are among our most powerful tools. Through our advocacy
and communications work, we influence policy makers and donors to develop policy to help
fight poverty, and we urge the media and public to bring attention to the causes and issues
that form the basis of our work. Every choice of word, metaphor, visual or statistic conveys
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meaning, affecting what our target audiences will think about CARE and the issues we
address. These guidelines are not meant to constrain communications or advocacy work, but
to help create relevant, responsible, consistent messaging throughout the CARE
confederation. These procedures apply to all CARE offices, including CI members, affiliate
members, and Country Offices.
2.1.i CARE’s approach
CARE’s communications and advocacy should reflect that CARE is an independent, nonpolitical, non-sectarian organization dedicated to ending poverty and providing humanitarian
assistance. CARE communications and advocacy should:
• As much as possible not endanger lives, relationships, programs or funding.
• Respect CARE’s values, mission and brand and the CI Code of Conduct, which is
based on the Code of Conduct for the International Red Cross and Red Crescent
Movement and NGOs in Disaster Relief.
• Be grounded in CARE’s expertise and program experience, and based on a thoughtful,
credible and supportable analysis of what we know about the issue and impact on
the people we serve in the country/situation. Advocacy in particular should also be
based on clear policy objectives, analysis and research.
• Use a serious, authoritative and generally non-confrontational tone.
• Have the goal of helping/benefiting the people we serve in the country/situation.
• Follow approved guidance and procedures.
The following principles and guidelines are a summary of existing policy. For more detail and
guidance about advocacy and communications policy, please see chapter 9 of this CI Code,
the Advocacy Procedures and Sign-Offs in CARE International approved by the CI board in
2009 and revised in 2011. For detail on developing CARE messaging and CARE’s
communications principles, please see the CARE Brand Identity Standards (2011) and the CI
Communications Handbook (2011).
2.1.ii. Definitions
Advocacy: Advocacy is the deliberate influencing of policy and its implementation so as to
support tangible improvements in the lives of the poor and marginalized. Advocacy is often
supported by positioning – usually through policy papers, policy recommendations and
statements, letters to decision makers, and talking lobby points - and communications.
Advocacy can be private or public, through activities such as closed-door meetings with
government officials, or by using some of the above tools. It is a means by which CARE
helps to raise the voices of the poor and defend their dignity.
Communications: CARE communicates to inform/educate the public and stakeholders
about CARE’s work, important issues and emergencies; give voice to beneficiaries; support
advocacy efforts to influence policy decisions; raise funds; and strengthen CARE’s
reputation. Examples of public communications include but are not limited to press
statements/releases, press conferences, media interviews, speeches, website updates,
talking points, printed materials such as brochures, social media posts, online campaigns,
human interest stories or blogs, reports or studies.
Questions to ask when choosing whether or not to engage in advocacy or
communications:
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• What is the purpose of our message?
• Is this grounded in CARE’s expertise/programming and is it aligned with CARE’s vision,
mission and mandate?
• If used for advocacy, is it based on clear policy objectives and supported by research
and analysis?
• Do we add value by commenting on the topic?
• Who is the target audience? Which of public or private messaging is the best way to
reach them?
• What are the risks? (security, government/donor relations, community feedback incountry, implications for countries nearby etc.) Does the importance of the
message outweigh the risks, or can we mitigate the risks?
2.1.iii Sensitive or controversial issues
Sensitive or controversial issues for CARE can vary from country to country and depend on
the context, but in general they include anything that could have a negative impact on staff
safety, programs, beneficiaries, government, partner or donor relations, or CARE’s global
reputation. CARE generally handles sensitive/controversial issues through private advocacy
or joint messaging with other agencies. CARE can and does engage in advocacy and
communications on controversial or sensitive issues, but this must only be done after
following a process of due diligence and adhering to the guidance below. This also applies to
joint messaging with other agencies.
2.1.iv Identifying sensitive issues and countries
The following list is not exhaustive and can change quickly, but includes issues and countries
that CARE considers particularly sensitive. For explanation on why the below
issues/countries are sensitive and existing CARE approaches and public messaging, see
Annex 1: Explanation and potential risks regarding messaging around sensitive
issues/countries.
Examples of sensitive issues
Social/cultural:
o Abortion
o Gender-based violence, rape
o Harmful practices such as Female Genital
Cutting or early marriage
o Sexual orientation
Conflict or war:
o Civil-military relations
o Military leaders, coups or actions
o Terrorist acts or groups
Security:
o Kidnappings or security incidents
o National staff names
o Sexual exploitation or abuse
Political:
o Elections or political events
o Government actions, political leaders
Negative
statements
regarding
UN,
governments, donors, NGOs
Official declarations:
o Cholera or epidemics
Examples of sensitive countries
o Afghanistan
o Iraq
o Myanmar
o Pakistan
o Somalia
o Sri Lanka
o Sudan
o West Bank and Gaza
o Zimbabwe
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o Famine
o Genocide, human rights abuses, war crimes
Additional questions to ask to identify a sensitive issue:
• Could this impact staff safety or programs in the country or other countries?
• Could this affect donor relations or relations with governments?
• Does this violate CARE’s position of being independent, non-political and nonsectarian?
• Does this represent a new policy position for CARE?
• Are there conflicting views within the membership on the issue?
If you answer yes to any of the above, you are dealing with a sensitive issue.
2.2 PROCEDURES
2.2.i Approval Processes 34
All advocacy and communications – whether conducted locally, nationally or internationally –
have the potential to affect other parts of the organization. It is therefore important for all
advocacy and communications to adhere to the following approval procedures. This applies
to both public and private messaging; although the risks associated with private messaging
are lower, it can be assumed that private messaging could become public. Communications
and advocacy materials/positions require approval in order to:
•
•
•
•
•
•
ensure it is factually correct and is of the highest quality and relevance;
ensure it protects CARE’s name, integrity of its program and safety of its staff;
ensure it is in line with CARE’s values, mission and brand and CI Code of Conduct;
ensure it takes into account sensitivities of individual CI members and COs;
allow us to manage legal and reputational risks;
ensure it serves its purpose.
While approval processes are important, we must remember that timing is crucial, especially
for media releases. Material to be approved should be provided in writing if possible; quick
translations into English can be done using online translation tools such as Google Translate.
There are different categories of communications and advocacy that require different levels
of scrutiny and approvals:
Category 1: not requiring further approval:
• national issues not related to another CI member or CO (e.g., a CIM press release
commenting on its own national government policy or a new donation);
• material that has been previously approved and clearly is not out of date.
Category 2: requiring further approval or consultation:
• issues related to another CI member or CO (e.g., position paper about a CO, a press
release quoting a CO staff or about another CIM government policy);
• sensitive or controversial issues outlined above;
• anything issued in the name of CARE International;
• issues related to a country in which CARE has no presence;
34
These approval procedures are in addition to any internal approval processes within a CARE office.
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• advocacy or communications targeted at a multi-lateral institution or partner (UN, EU,
World Bank etc.);
• emergency response;
• material that was previously approved but may be out of date;
• advocacy or communications work related to global events or issues that CI has agreed
to address through coordinated advocacy or that are related to the acknowledged
specialization of another CIM.
2.2.ii Sharing information with CI
Communications or advocacy materials released by a CARE office may be picked up by
media or seen by stakeholders around the world. Once communications or advocacy
positions/materials are approved, it is important to alert the rest of CI and provide any
necessary guidance (e.g., talking points, key messages, and/or Q&As if appropriate)
regarding how to handle inquiries from stakeholders or any additional action required. Please
see Section X of the CI Communications Handbook for how to share information using CARE
internal e-mail distribution lists.
2.2.iii Follow-up
It is important that the office that issued the advocacy or communications initiative monitor
the global response (e.g., media coverage; reaction from stakeholders such as beneficiaries,
government, donors). A CO, Lead Member or other CI Member may issue subsequent
statements to keep CARE’s point of view clearly understood or to build on the work already
done. Follow-up initiatives should respect the above procedures.
2.2.iv Arbitration
In case of disagreement regarding advocacy or communications issues or any of the
procedures outlined in this document, the CI Secretariat will seek a consensus as per the CI
Advocacy Procedures and Sign-Offs 2011.
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Figure 7: CI Approval processes for media and communications
Are you…
…Then you need to involve…
(check
CI
all that
Country Lead
Secretariat
apply)
Director member 35 36
Talking about a CO, but it’s not
sensitive?
-i.e. announcement of a new project, press
release quoting a CO staff, CO fact sheet,
advocacy around an event in a CO
Get
approval.
Get
approval
(for
advocacy)
Talking about a CO, and it is sensitive?
-see section 1.3 above on sensitive issues
Get
approval.
Get
approval.
Talking about an issue that is potentially
controversial for all of CI?
-i.e. human rights law, genocide, WBG
Inform.
Get
approval.
CI member
National
Directors 37
Consult
if
needed
(CI
Secretariat
will do it).
Consult
if
needed
(CI
Secretariat
will do it).
Signing on to something in the name of
CARE International?
-i.e. signing on to a policy position or a joint
press release/report as CARE International,
not just as your CI member
Get
approval.
Consult
if
needed
(CI
Secretariat
will do it)
Talking about a country where CARE
doesn’t work?
Get
approval.
Consult
(CI
Secretariat
will do it).
Talking about a CI member or its
national operating environment?
-i.e. press release or meeting about a CI
member’s government/policy or a company
from a CI member country
Get approval
from
the
relevant
CI
member.
35 Lead member point people are Media/Communications Manager for communications materials; Advocacy or Line
Manager for advocacy positions and associated communications. It is their responsibility to consult with/obtain approval
from the relevant Lead Member senior staff, such as Head of Program, Security Director, Legal Advisor, etc. and regional
offices, where these exist.
36 CI Secretariat point people are CI Media and Communications Coordinator for communications; CI Head, Global
Advocacy for advocacy. It is their responsibility to consult with/obtain approval from relevant staff in the CI Secretariat if
necessary.
37 For additional details, please see the CI Advocacy Procedures and Sign-Offs 2011.
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Talking about an issue addressed by CI
through a coordinated global advocacy
initiative, or that is the area of a Centre
of Expertise?
-i.e. Climate Change Centre of Expertise,
Maternal Health global advocacy initiative 38
Targeting a multilateral institution or
process, like the UN, EU or World Bank?
-i.e. position paper for UNFCCC, letter to
members of the UNSC, meeting with your
government about EU policy 39
Targeting
the
EU
on
sensitive/controversial issue?
a
Consult
the
CI
member
leading
the
campaign or
Centre
of
Expertise.
Consult.
Get
approval.
Approval
needed from
majority of EU
CIM
(CI
Secretariat
will do it)
Get
approval.
CARE and the Media
Working with traditional and new media is extremely important. Journalists deliver CARE’s
message to the world through newspapers, radio, television and social/online media. CARE
staff have expertise and knowledge which is in high demand by the media. The development
of professional working contacts with journalists locally, nationally and internationally is
crucial to the success of any media strategy. CARE staff should have an understanding of
the media, how it functions, and the roles of print, broadcast and social media/online
journalists.
CARE works with the media to:
• Raise awareness and motivate donors, partners, policy makers and the public about
CARE’s work and issues related to global poverty.
• Enhance and protect CARE’s reputation, messaging and advocacy work.
• Give voice to communities with whom we work.
• Increase acceptance at CO level.
• Support fundraising efforts: earned media is free, keeping advertising costs low.
Donors are more likely to respond favourably to project proposals or appeals from
CARE when positive and frequent reports on the work of the organisation appear in
the media.
In our media work, CARE seeks to:
• Be a resource. We have information and knowledge that is useful to journalists.
• Be honest, open and transparent.
• Promote the dignity of the people with whom we work.
38 Issues addressed by CI as global advocacy initiatives and leads can be found in the 2-year CI Global Advocacy
Strengthening Strategy.
39 Usually, communications related to multilateral institutions should be part of an advocacy initiative.
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• Provide journalists access to the communities, so they can see problems and
solutions for themselves.
• Educate and inform.
• Maintain good relations. Just as we work closely with donors and partners, we do the
same with journalists.
Media policies and training
All CARE offices should appoint a Media Focal Point who will be the point person to receive
media requests or manage media initiatives such as press releases. In most COs, this will be
the CD or communications officer (if available). COs, particularly high-risk countries or large
COs, should have at least one experienced and dedicated communications/media officer on
staff to handle media requests, facilitate media visits, build relations with local and
international media, produce communications materials, monitor media for issues relevant to
CARE or mentions of CARE, provide training to staff, and other communications-related
activities to promote CARE’s work and advocacy messages, support the CO and protect
CARE’s reputation.
All CARE offices should have a Media Policy, including the approved spokespeople; the
Media Focal Point; and guidance on what staff should do if they are contacted by a journalist.
All media contact and resulting coverage should be reported to the Media Focal Point and
lead member for CARE’s records and follow-up if needed. Doing media interviews and
supporting CARE media/communications initiatives should be included in the job descriptions
and responsibilities of all senior staff. All CARE spokespeople should receive media training
following CARE’s global media training curriculum.
Media in emergencies and crises
Emergency media protocols, roles and responsibilities are explained in detail in Chapter 22
of the CARE Emergency Toolkit. Crisis Communications Guidelines are included in the CI
Communications Handbook.
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Section 14 – CI Internal Agreements
Section 13 –
Reference Papers
These standards refer specifically to CARE projects (whether implemented directly or
through partners). However, where there are specific longer-term programme plans these
standards should apply to them as well.
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Section 13 – Reference Papers
CI Project Standards
May 2002
Each CARE project* should:
1. Be consistent with the CARE International Vision and Mission, Programming Principles and
Values.
2. Be clearly linked to a Country Office strategy and/or long term programme goals.
3. Ensure the active participation and influence of stakeholders in its analysis, design,
implementation, monitoring and evaluation processes.
4. Have a design that is based on a holistic analysis of the needs and rights of the target
population and the underlying causes of their conditions of poverty and social injustice. It
should also examine the opportunities and risks inherent in the potential interventions.
5. Use a logical framework that explains how the project will contribute to an ultimate impact
upon
the
lives
of
members
of
a
defined
target
population.
6. Set a significant, yet achievable and measurable final goal.
7. Be technically, environmentally, and socially appropriate. Interventions should be based
upon best current practice and on an understanding of the social context and the needs,
rights and responsibilities of the stakeholders.
8. Indicate the appropriateness of project costs, in light of the selected project
strategies and expected outputs and outcomes.
9. Develop and implement a monitoring and evaluation plan and system based on the
logical framework that ensures the collection of baseline, monitoring, and final
evaluation data, and anticipates how the information will be used for decision
making; with a budget that includes adequate amounts for implementing the
monitoring and evaluation plan.
10. Establish a baseline for measuring change in indicators of impact and effect, by conducting
a
study
or
survey
prior
to
implementation
of
project
activities.
11. Use indicators that are relevant, measurable, verifiable and reliable.
12. Employ a balance of evaluation methodologies, assure an appropriate level of rigor, and
adhere to recognized ethical standards.
13. Be informed by and contribute to ongoing learning within and outside CARE.
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Rationale and Definition for Program
Approaches
Approved January 2011
Page 209
The Rationale and Definition for Program Approaches
throughout CARE International
The CARE International Program and Operations Committee believes that program approaches
are fundamental to CARE living up to its potential to contribute at scale to transformational and
lasting change, and reduced vulnerability, for the most excluded sectors of society, whose rights
we seek to see fulfilled, especially women and girls. There is initial evidence 40 that such
approaches are already enabling us to contribute to more significant impact and to leverage
greater change than in the past, under a project-focused approach.
This shift, from project to program approaches, has been developed throughout CARE
International over the last five years, driven by the energy, commitment and creativity of
thousands of staff in partner organizations, Country Offices and CARE Members. While not
following a standard approach or methodology, these efforts to develop and implement program
strategies have sought to apply, in the many different contexts in which we work, the following 8
defining characteristics of a program 41.
A program is a coherent set of initiatives, including humanitarian interventions, by CARE and
our allies that involves a long term commitment to specific marginalized and vulnerable groups
to achieve lasting impact at broad scale on underlying causes of poverty, and social and gender
injustice. This goes beyond the scope of projects to achieve positive changes in human
conditions, in social positions and in the enabling environment.
The defining characteristics of a program for CARE are:
1. A clearly defined goal for impact on the lives of a specific group, particularly women and
girls, realized at broad scale.
2. A thorough analysis of underlying causes of poverty, social and gender injustice, and
vulnerability at multiple levels with multiple stakeholders.
3. An explicit theory of change that is rigorously tested and adapted to reflect ongoing learning.
4. A coherent set of initiatives that enable CARE and our partners to contribute significantly to
the transformation articulated in the theory of change, including 
reducing vulnerability
to risks and responding to crises.
5. Ability to promote organizational and social learning, to generate knowledge and evidence of
impact.
6. Contribution to broad movements for social change through our work with and strengthening
of partners, networks and alliances.
7. A strategy to leverage and influence the use and allocation of financial and other resources
within society for maximizing change at a broader scale.
8. Accountability systems to internal and external stakeholders.
40
CARE USA, Operational Model Documentation (October 2010).
Developed by a broad group of staff from most CARE Members, the CI Secretariat and all Country
Offices and regions during the Istanbul workshop on the Program Approach in April 2008
41
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Consistent with the aid and development effectiveness agenda, we believe that working through
programs is the most cost-effective way to achieve and measure impact at scale. To do this
effectively involves significant organizational change: this includes how we raise funds, recruit
and maintain talented staff, manage and analyze our financial information, organize and
structure our offices, and develop relationships with, and influence, Government, the private
sector and civil society.
Country Offices and CARE members have also described the usefulness of program
approaches in helping to:
•
•
•
•
•
•
•
•
Clarify our role and valued added in those societies where we work
Ground us in the ‘real world’ of the communities where we work, and the broader society
where we seek to promote change
Centre our work on specific groups of people (‘impact populations’), in particular women and
girls
Enhance our accountability to diverse stakeholders, especially marginalized communities
Promote greater coherence of work across all areas of the organization, and amongst
Members
Work more effectively as a team
Enable project staff to understand how their work can contribute to broader impacts, and
Increase efficiencies and organizational learning.
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Policy for Engaging in Private Fundraising
Activities in Countries with No CI
Presence
Approved November 2007
Page 212
I: Purpose
The purpose of this policy is to guide CARE International Members’ (CIM) pursuit of private
fundraising opportunities in countries where CARE International (CI) is not present, and to
promote concerted and/or joint action during such activity.
Note that this paper does not address the process by which a CIM can fundraise from
governments of countries with no CI presence (e.g. Sweden).
II. Policy
1. The expansion of private fundraising by CIMs in countries with no prior CI presence will
be dealt with on an ad-hoc basis and not by allocating such countries a priori.
2. Private fundraising in countries with no prior CI presence can be done through massmedia channels (e.g. direct marketing, web) or by targeting specific donors (companies,
foundations, major donors). In general the former would require a CIM to establish a
physical in-country presence, whereas the latter could be conducted remotely from the
CIM’s headquarters.
3. The following criteria should be used to determine the rationale for CIMs to start
fundraising in a country:
a. Market
The fundraising potential of the country should be clearly identified. It may be
limited to a few companies & foundations or it may be more significant, notably if
individual giving looks promising. A comprehensive market review is necessary if
a physical in-country presence is required to pursue a fundraising opportunity.
b. Connections with the target country
It is preferable that CIMs planning on fundraising in a country be connected to
that country through history, culture and/or language. Geographical proximity
should also be taken into account.
4. Members planning on fundraising in a country are required to develop a supporting
strategy. A simple description of the fundraising techniques will suffice if the activities are
to be carried out from the CIM’s headquarters while a business plan along with a
detailed market study should be elaborated if a physical in-country presence is
envisaged. In this latter case, plans for the organizational evolution of the new entity
should also be made explicit as well as the composition of its Board, if applicable.
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An essential part of the supporting strategy will be an action plan for effective promotion
and protection of the CARE brand. For this reason, the business plan’s budget should
include allocated costs associated with registering and maintaining the brand, and prior
to use of the brand, the CIM must coordinate with CARE USA regarding use and
licensing.
5. CIMs will share their plans with the Fundraising & Communications Working Group
(FCWG) before starting their fundraising activities. They will provide supporting
documents - business plan and market study - for information purposes, when
applicable. 42
6. The FCWG will verify that CIM plans meet the criteria detailed in paragraph 3. When
country presence is requested, the FCWG will issue a recommendation to the National
Directors’ Committee (NDC) who, in turn, will recommend final approval of market entry
to the CI Board. 43
7. All of CI’s fundraising activities will always seek to achieve the highest quality standards
by upholding the CI Fundraising Code of Ethics and Standards of Practice for Private
Fundraising. In particular, CI Members will comply with the legal, fiscal and ethical laws
and customs in the country.
III. Multi-Member Interest in a Country with No Care Presence
1. CI should aim to preserve a unified presence in all the countries where it operates.
When several CIMs plan on fundraising in a country, the NDC will appoint a Coordinator
upon the recommendation of the FCWG.
2. As a rule, the Coordinator will be the CIM which makes the largest financial investment,
although a CIM’s history, language and geography should also be considered.
3. The Coordinator will ensure that donors are approached in a consistent manner and will
monitor all CIM’s fundraising activities in the country. It will represent CI to the local
authorities and annually report on the fundraising results to the FCWG.
4. Levels of coordination will vary according to the fundraising strategies being pursued:
- For instance, CIMs can agree on fundraising territories on the basis of the
languages spoken in the country. They can also agree to focus on different donor
segments or on different fundraising techniques (e.g. one CIM would approach
corporate & foundations while another would approach individual donors).
- When a physical in-country presence has been established, CIMs will fundraise
through the newly-created fundraising office. Each interested CIM would then
42
43
As at February 2011 this process is no longer applicable and this clause will change
As at February 2011 this process is no longer applicable and this clause will change
Page 214
contribute a share of associated costs while the Coordinator would implement the
fundraising strategy.
5. Whatever level of coordination is chosen, it should leave open the possibility for
additional Members to join at a later stage once interest has developed.
IV. Dispute Resolution
The following issues should be brought up to the NDC for resolution:
•
CIM plans do not meet criteria for market entry.
•
Disagreement with the coordination mechanism suggested for a country.
•
Dissatisfaction with the Coordinator.
Fundraising in Countries with no CARE International Presence
CI Member
Is currently
fundraising in*:
Have plans to start
fundraising before
Dec. 07 in *:
Is considering
fundraising in:
This matrix should be maintained by the CI Secretariat and updated periodically in accordance
with CI Board decisions
* For each country, indicate in brackets the fundraising techniques to be used and whether a
country presence is envisaged
e.g.: Hungary (Direct mailing, country presence established)
Example:
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Is currently
fundraising in*:
CI Member
AUSTRIA
Hungary (DM, country
presence established in
2006)
Have plans to start
fundraising before
Dec. 07 in *:
Czech Republic (DM,
country presence
established in 2007)
Liechtenstein (DM
test, no country
presence)
Is considering
fundraising in:
South Tyrol (Germanspeaking part of Italy),
German-speaking part
of Switzerland, Slovakia,
Slovenia
Page 216
Policy Framework for CI’s Relations with
Military Forces
Endorsed June, 2009
Page 217
1: Policy Statement: Executive Summary
In the past decade international responses to complex emergencies have increasingly called on
peacekeeping and military-led missions, alongside the more traditional and standardized military
responses to natural disasters. Increased interventionism on the part of the UN, regional
organizations and the major Western powers in response to internal conflicts has led to new
challenges to military and humanitarian interaction. In both natural disasters and conflict, the
members of the CARE confederation often find themselves working in proximity to a range of
military actors, state forces and international operations.
The humanitarian and military actors have fundamentally different institutional thinking and
cultures, and the two groups have different mandates, competencies objectives and modus
operandi, which should not be confused.
CARE’s decisions about how it interacts with the military should always be consistent with its
principles and obligations. There are five organisational principles (described in more detail
on pages 3-4 below) that are central in defining CARE as a non-governmental organisation
engaged in humanitarian action.
•
Distinction
•
Humanitarian imperative
•
Safety and security of staff
•
Impartiality
•
Consultation
Humanitarian principles constitute the core basis for CARE’s ability to work safely and
effectively in conflict. While the threats confronting aid agencies are manifold, the safety and
security of CARE’s staff, programmes and beneficiaries is contingent on CARE’s neutrality,
impartiality and independence from military operations. Inappropriate interactions or the
perception of blurred lines 44 between humanitarian and military actors can undermine aid
agencies’ acceptance among local populations and parties to the conflict as well as increase the
level of insecurity. The unintended negative consequences of associations between aid
programmes and military forces can outweigh any short-term benefits.
CARE also recognises that military forces have obligations related to humanitarian assistance
and protection of civilian populations, as established by international humanitarian law and
44
Confusion between humanitarian action, principles and mandates and political action.
Page 218
customary law 45. Under certain circumstances, the military may provide assistance or support
relief operations. In such contexts, military involvement in relief operations should always
respect the principle of distinction between military and humanitarian operations.
CARE will strive to develop joint approaches with other aid agencies to civil-military relations.
2: Definition
“Civil–military relations” (CIVMIL) is the term used by humanitarian agencies to describe the
essential dialogue and interaction between civilian and military actors in humanitarian
emergencies that is necessary to protect and promote humanitarian principles and to clearly
spell out respective competencies and responsibilities.
3: Purpose
This document provides a policy framework to guide CARE managers’ decisions about
managing interactions with military forces and their police components. It provides a framework
to promote consistency with CARE’s values and mission, as well as best practice and principles
identified by the wider humanitarian community. The proposed framework establishes a
common policy for use across the CARE Confederation and is intended to ensure that CARE’s
position on relations with military forces is clear to internal and external stakeholders.
4: Scope
In both natural disasters and conflict, NGOs often find themselves working with or near military
forces. This policy is primarily focused on CARE’s relations with national and international
forces. CARE is present in countries in which foreign national, multilateral and coalition forces
operate; including peace-keeping, peace enforcement, integrated missions, and combat
operations. While decisions on relations with military forces are informed by circumstances and
45
E.g.: Protocol Additional to the Geneva Conventions of 12 August 1949, and relating to the Protection of Victims of International
Armed Conflicts (Protocol I), 8 June 1977, Part IV, Art. 51 “Protection of the Civilian Population”, Art. 70 “Relief actions in favour of
the civilian population”, Art. 81 IV “Activities of the Red Cross and other humanitarian organizations”.
Page 219
change over time, this paper provides an over-arching framework and guidance for staff on the
ground.
This CARE policy is structured around the following levels of potential action related to civilmilitary relations:
•
•
•
Context Analysis and Emergency Preparedness
Dialogue
Coordination and Cooperation
5: Rationale
Civilian leadership is essential to ensure the primacy of humanitarian action, based on needs,
over military objectives derived from political strategic goals. The interaction between military
forces and CARE is characterized by the need of coordination between all actors in the field and
the necessity to preserve humanitarian space.
6: Normative and Legal Framework
Humanitarian principles constitute the core basis for CARE’s ability to work safely and
effectively in conflict. CARE’s decisions about how it interacts with the military should always be
consistent with CARE’s values and obligations.
For this reason, CARE supports the broad principles set forth in the following principles and
guidelines outlined below in the primary references:
Primary references
Annex B-1:
Code of Conduct for the International Red Cross and Red Crescent
Movement and NGOs in Disaster Relief
Annex B-2:
Oslo Guidelines on: The Use of Military and Civil Defence Assets
in Disaster Relief, 2006 (covering natural, technological and
environmental emergencies)
Annex B-3:
UN and IASC Civil Military Guidelines & Reference for Complex
Emergencies, 2008
Secondary references
Annex B-4:
Guidelines on the domestic facilitation and regulation of international disaster
relief and initial recovery assistance (IDRL Guidelines 2007), Art. 11
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Annex B-5:
Annex B-6:
Annex B-7:
Annex B-8:
Annex B-9:
Guidelines on the use of military and civil defence assets (MCDA) to
support United Nations humanitarian activities in complex emergencies,
2003
UN guidelines on Use of military or armed escorts for humanitarian
convoys, 2001
Guidelines for UN and other Humanitarian Organizations on Interacting
with Military, Non-State Armed Actors and Other Security Actors in Iraq,
2008
Security Council Resolutions 1511 (2003), 1546 (2004) and 1770
(2007)
Humanitarian Negotiations with Armed Groups: A Manual for
Practitioners, 2006
7: Organisational Principles
CARE’s interactions with the military should be informed by five organisational principles.
Their consistent application in CARE’s operations is central to the ability to work successfully
and sustainably in complex and often dangerous environments. Cooperation with military actors
must also be considered in terms of short-term and long-term impact and must take into account
possible evolution of the political context.
Distinction
CARE must ensure that its identity and activities are, and are perceived to be,
distinct from military aims and operations. Policies and operations that blur the lines
between military and aid operations may undermine CARE’s humanitarian space –
eroding CARE’s acceptance among local communities and stakeholders, and
thereby turning CARE, its staff, local partners, programmes and beneficiaries into
parties to the conflict and therefore into potential targets. For these reasons, CARE
should always ensure that any interactions with military forces do not compromise –
or appear to compromise - its identity as an independent organisation committed to
the humanitarian imperative and not to a political agenda.
Humanitarian imperative
The humanitarian imperative obliges CARE to acknowledge the absolute right to
assistance of all victims of disaster, and, constrained only by its own capacity, to
respond to humanitarian need whenever it can. This imperative is at the heart of all
CARE’s humanitarian operations.
Safety and security of staff
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The safety and security of personnel is an overriding consideration in all that CARE
does. It is all the more pressing in the often dangerous environments in which
emergencies occur.
Impartiality
CARE seeks to pursue the provision of humanitarian assistance in a way that does
not discriminate with regard to race, religion, nationality, or political affiliation. Any
decision to cooperate with the military on humanitarian response must not
compromise, or create the impression of compromising, this principle of impartiality.
It should ensure that CARE has non-discriminatory access to all victims.
Appropriate Consultation
Effective civil-military relations should be centred on appropriate and effective
dialogue with the military. Consultation and communication with military actors
should be clearly distinguished from, and should not be mistaken for, collaboration or
cooperation. Active consultation and communication with other key stakeholders 46
engaged in civil-military contexts is an essential adjunct to dialogue with the military
8: Levels of civil-military interaction
This policy identifies the three levels of potential action related to civil-military relations: Context
Analysis and Emergency Preparedness; Dialogue; Coordination and Cooperation. While context
analysis and emergency preparedness should always take into consideration CIVMIL issues,
any dialogue or coordination and/or cooperation will only be taken forward once consideration is
given to the above organisational obligations.
LEVEL ONE: Context Analysis and Emergency Preparedness
Given the possible role assumed by military forces in response to natural and man-made
disasters, civil-military relations should also be figured into all CARE Country Office emergency
preparedness plans (EPPs). As such, context analysis and preparedness planning on CIVMIL
should be taken forward alongside efforts related to risk management, conflict sensitivity and
staff safety and security (as per Country Office Safety and Security Management Plans).
Responsibility for managing civil-military relations resides with CO senior management (e.g.
policy and decision making). However, there is also a need for the delegation of responsibility
for developing the relevant analysis and support of management decision-making to a relevant
member of staff (e.g. Safety and Security Officer or Conflict Advisor).
46
e.g. UN, INGOs/NGOs, affected populations, governments etc.
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LEVEL TWO: Dialogue
Effective civil-military relations should be centred on appropriate and effective dialogue with
military. CARE’s communication with military (and paramilitary) forces should serve to clarify
CARE’s vision, mission, values and operational practices. As such, dialogue with military
organisations, both in the field and at headquarter levels shall serve to advance mutual
understanding. It can help to prevent dangerous misunderstandings in the field. However,
CARE should resist attempts by the military to promote shared roles that do not advance
CARE’s core humanitarian mission. Consultation mechanisms and communication channels
should be clearly distinguished from an integration process and/or operational collaboration
Forms of communication that blur the lines between military and humanitarian operations should
be avoided.
In situations where military forces and paramilitary forces are playing an active role, CARE shall
liaise with the military chain of command. Dialogue with the military is an essential element in
order to promote agency security and humanitarian access. The objectives of such dialogue
are:
•
•
•
•
•
To ensure CARE’s overall activity is consistent with the five organisational principles
set forth above.
To communicate on operations and programmes as well as ensuring that CARE can
operate freely and independently;
To voice concerns about policies or actions which may undermine the situation of the
civilian population;
To be informed of any military development, plans or operation that can hamper
CARE operations or endanger CARE’s staff; and CARE’s beneficiaries
To make representations in cases of breaches of international humanitarian and/or
human rights law.
LEVEL THREE: Coordination and Cooperation
In exceptional circumstances and as a last resort measure CARE may decide to coordinate or
cooperate with military forces on humanitarian affairs, or seek assistance from them. In case of
deciding to operate under level three, the request shall be submitted for a formal decision from
the respective Lead Member and CI Secretariat.
Potential areas for coordination and cooperation include inter alia:
•
•
•
Logistical support;
Securing access to beneficiaries;
Evacuation and protection of staff or beneficiaries.
Any decisions to work with military forces should be informed by a careful analysis of potential
impacts on CARE’s obligations as a humanitarian agency. Evaluations have shown that aid can
do harm as well as good. There are increased sensitivities and potential risks when the delivery
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of aid involves assistance of military forces 47. For this reason, CARE is obliged to account for
any medium- or longer-term impacts of its actions.
Adequate information and consideration of the following issues should always inform the
decision:
•
•
•
•
•
•
All non-military alternatives have been explored and it is determined that support from
the military is essential in order to fulfil CARE’s mission.
Short-term and long-term impact on local perceptions and humanitarian access has
been thoroughly assessed: Interactions with the military may affect perceptions of CARE
and other aid agencies amongst the local population, parties to the conflict, and local
authorities. These perceptions will have consequences for CARE’s level of humanitarian
access to beneficiary communities.
Potential negative consequences for safety and security of staff, partners and
beneficiaries have been considered: Interactions with military forces have implications
for staff safety and security, as well as the protection of local partners and beneficiary
communities.
Scale and urgency of humanitarian needs are confirmed.
Cooperation with military forces does not lead to CARE being associated with violations
of international humanitarian or human rights law.
CARE’s commitment to independence and distinction between humanitarian and military
operations will not be compromised. Core aspects of independence include: freedom of
movement for humanitarian staff, freedom to conduct independent assessments,
freedom of selection of staff, freedom to identify beneficiaries on the basis of need, and
the free flow of information between humanitarian agencies.
Any decision to work with the military will be uniquely informed by prevailing exceptional
circumstances. Managers should continuously re-assess the basis of decisions to engage with
military forces in any given operation. As events unfold, new analysis may indicate a higher
level of engagement, a modified and more conditional approach to military cooperation, or, as
civilian options emerge, a termination of any operational interaction. As the situation returns to
normal CARE should revert to its traditional operation mode as soon as possible.
Once coordination and/or cooperation with military forces has been initiated, CARE must always
be open to all parties about the nature of its relations with military forces. To this end, when the
decision has been made to work with the military in a given emergency, CARE will sensitively
communicate its principles on military relations to the military, civil authorities and beneficiaries.
CARE will also distinguish itself from those forces at all times. Engagement with military forces
should not be considered if this transparency, independence and distinction cannot be
maintained.
Promotion of normative approach
CARE shall continue to address the need to strengthen, safeguard and implement international
and country-specific CIVMIL rules and guidelines. Aid activities including communication plans
and advocacy campaigns shall be informed under the appropriate form by CARE’s CIVMIL
47
See also: Mary B. Anderson. Do no Harm: How Aid Can Support Peace – or War. Lynne Rienner Publishers Inc., US: 1999.
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policy and in particular promote a clear distinction between military operations and humanitarian
assistance/development work.
Monitoring
Through its presence in the field, CARE shall monitor within its own sphere of operations the
degree of implementation of the above-mentioned rules and guidelines. CARE will take the
necessary steps to intervene in case of serious breach of CIVMIL principles, or launch advocacy
campaigns to counter initiatives aimed at weakening the capacity of NGOs to act independently.
Mainstreaming
CARE shall introduce effective and appropriate CIVMIL coordination mechanisms and
processes at field and international/HQ levels and should as appropriate negotiate with donors
to cover the costs of such coordination mechanisms in project budgets.
Funding and relief goods associated with military forces and objectives
Donor governments use their aid budgets to pursue their wider national security or foreign
policies. For this reason, CARE needs to exercise caution in relation to funding or other relief
goods that are associated with military or security institutions or objectives. In general, CARE
members and country offices should not accept funding from ministry of defence institutions or
funding streams, or from military operations deployed at the field level, unless authorization to
do so has been received by the appropriate lead member in consultation with the CI Secretariat.
This policy encompasses defence agency budgets associated with civil-military relations and
assistance-related tasks. It also applies to the budgets allocated to specific military forces for
quick-impact projects and other forms of assistance. Military forces also occasionally offer
military goods, including food and non-food items, to be used as part of a humanitarian
response. In general, CARE needs to adopt a cautious approach; balancing the humanitarian
needs of crisis-affected populations with the potential consequences of using such items. In
such contexts, CARE should advocate for and seek funding from aid channelled through civilian
institutions, such as bilateral or multilateral donor agencies. In all cases, CARE should
emphasise the importance of civilian control over humanitarian, recovery or development aid
funding.
Annex A: Operating scenarios
Given this need for a flexible yet principled approach, the following are illustrations of ways in
which CARE might think about its interaction with the military in a range of different
environments where humanitarian need can exist.
Scenario 1: Ongoing conflict, or stand-off, between governmental or organised anti-government
military forces, in the absence of external peacekeeping forces (e.g. Sudan, Nepal, Sri Lanka)
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This scenario would cover CARE operations occurring within the context of
“conventional” conflict between states, or conflicts between national government forces
and anti-government insurgents or movements, in the absence of external peacekeepers.
Unlike the previous scenario, the military forces involved would be more obviously
pursuing military and political agendas, rather than economic opportunism.
In these (often fluid) circumstances, CARE’s operational decision-making and its
interaction with military forces need to be completely faithful to the principles of
independence, impartiality and transparency. A compromise seems inadequate here. To
do so could jeopardise CARE’s ability to maintain its operations, particularly where
access to one side is contingent on the permission of the other (as is often the case),
and may significantly endanger staff. What this means is that, unlike Scenario 1, CARE’s
operational principles must not be seen to be diminished for the sake of increased ability
to meet humanitarian access, improved security or other obligations. Therefore, any
interaction with military forces must be contingent on CARE being satisfied that all three
operating principles can be met and be seen to be met.
Scenario 2: Ongoing conflict, or stand-off, between governmental or organised anti-government
military forces, but in the presence of external peacekeeping or enforcement forces (e.g. Sierra
Leone (1999-2005), pre-1996 Bosnia)
The third scenario is identical to the second except that it features the presence of
international peacekeepers or peace enforcers. In this case similar considerations must
apply to CARE’s relations with the conflict’s principal military protagonists, including
those involved in peace enforcement. But can the same be said for peacekeeping forces?
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The problem here is that often peacekeepers are not always perceived by the belligerents
in a conflict as being neutral and impartial. And that by allying CARE too closely with a
peacekeeping operation, we may undermine the perception amongst the population at
large that CARE is indeed independent of and impartial towards all actual and possible
belligerents to the conflict. As mentioned, it is the population’s acceptance arising from
these perceptions that often provides CARE with the ability to operate successfully in
dangerous environments.
Unlike Scenario 2, where full compliance with three key operating principles was an
absolute requirement for any kind of military co-operation to be considered, here we are
dealing with a much less cut-and-dried situation. CARE can and does work with
peacekeeping forces in situations of conflict and military stand-off. But the nature and
extent of CARE’s involvement with the military needs to be justified by transparent
arguments (based on security and humanitarian access considerations) and associated
with demonstrable impartiality in the work we do. Impartiality is crucial and probably
involves using CARE’s involvement with the peacekeeping military to access
humanitarian need on both sides of the conflict.
In addition, it is important to stress that CARE’s involvement with peacekeeping military
forces under this scenario needs to be conditioned by the requirement that deployment
of military assets for humanitarian purposes be done within a civilian-led humanitarian
decision-making structure.
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Scenario 3: Peacekeeping within a stable, post-conflict situation (e.g. Bosnia (1992-1995),
Kosovo (1999-), Timor-Leste (1999-))
This scenario is a natural progression from Scenario 3 in as much that it is hoped that a
given conflict will come to an end and that the peacekeeping environment will become
increasingly stable. Such has been the case in Bosnia, Timor-Leste and Kosovo more
recently.
Once a conflict has stabilized, ideally military involvement in humanitarian affairs should be
phased out as quickly as possible. While this does not often happen in practice, CARE needs to
make every effort to ensure that each of its operating principles are strongly established both in
fact and in the eyes of the population at large. This will mean making special efforts to ensure
that CARE is seen to be independent of military operations and decision-making. It also
suggests that CARE should give even more added weight to the importance of civilian decisionmaking in humanitarian affairs. To this latter end, CARE should seek ways to help civilian
authorities - including local government, civil society groups, the UN, and other NGOs - to
establish mechanisms for aid distribution and programming.
Scenario 4: Natural disasters occurring in stable circumstances (e.g. Hurricane Mitch (1998),
Orissa Cyclone (1999), Indian Ocean Tsunami (2004), Pakistan Earthquake (2005))
In the context of natural disasters the sensitivities of working with military forces are generally
far lower than during a conflict. Saving large numbers of lives in the midst of catastrophe
becomes the dominant goal. Safety and security of personnel does not usually present a
problem, and the wider implications of CARE’s intervention are dwarfed by the immediacy and
scale of unmet humanitarian need and carry out humanitarian assistance.
In the wake of natural disasters, the military is often a vital provider of logistical capacity. CARE
will generally find a certain level of local acceptance to working with military forces in such a
situation, since the military is often the only organisation with the logistics capacity to respond
on a massive scale. Principles of transparency, independence, and impartiality may be less
relevant by comparison. Civilian leadership of aid distribution decisions is still critical, however,
since humanitarian workers are often best qualified to assess needs.
Scenario 5: Donors directly engaged in a conflict as belligerents in pursuit of strategic objectives
(e.g. Iraq 2003-2004), Afghanistan 2001-)
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This scenario presents the most politically challenging as well as risky context for INGOs
such as CARE, and thus the decision to deploy or remain in-country should be based on
a high-threshold analysis of benefits and harms. There is a significant possibility that
INGOs, regardless of their actual or stated position, will be perceived as aligned with the
belligerent donor and thus become a target for opposed belligerent sides. INGOs are also
likely to face political and financial pressure from the belligerent donor to cooperate in
integrated
civil-military
operations
(e.g.
Provincial
Reconstruction
Teams
in
Afghanistan). In these circumstances, CARE’s operational decision-making and its
interaction with military forces need to be rigorous and transparent regarding CARE’s
adherence to the principles of independence, impartiality and transparency. CARE
advocacy should aim to influence belligerent donor operations, such as quasi-assistance
programs delivered for ‘hearts and minds’ objectives, that impact negatively on
humanitarian space, civilian protection or other CARE priorities. Engagement at country
level is best pursued through the mediation of neutral, third-party channels, such as UN
OCHA, and ‘integration’ into belligerent operational or coordination structures should be
avoided. Compromise is unlikely here.
Annex B: References
Annex B-1: Code of Conduct for the International Red Cross and Red Crescent
Movement and NGOs in Disaster Relief
Introduction
The Code of Conduct for The International Red Cross and Red Crescent Movement and NGOs
in Disaster Relief, was developed and agreed upon by eight of the world's largest disaster
response agencies in the summer of 1994 and represents a huge leap forward in setting
standards for disaster response. It is being used by the International Federation to monitor its
own standards of relief delivery and to encourage other agencies to set similar standards.
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Throughout the 1980s and 1990s there has been a steady growth in the number of nongovernmental organisations (NGOs), both national and international, involved in disaster relief.
In the autumn of 1994 there were over 120 NGOs registered in Kigali, the war ravaged capital of
Rwanda.
Many of these agencies, including National Red Cross and Red Crescent Societies, the church
agencies, Oxfam, the Save the Children Fund or CARE, have a history going back many
decades and have gained a reputation for effective work. Others, more recently formed, such as
Médecins Sans Frontières, have rapidly evolved to become respected operators. Along with
these large and well-known agencies there are today a multitude of small, newly-formed groups,
often coming into existence to assist in one specific disaster or in a specialised field of work.
What few people outside of the disaster-response system realise is that all these agencies, from
the old to the new, from multi-million dollar outfits to one-man shows, have no accepted body of
professional standards to guide their work. There is still an assumption in many countries that
disaster relief is essentially "charitable" work and therefore anything that is done in the name of
helping disaster victims is acceptable.
However, this is far from the truth. Agencies, whether experienced or newly-created, can make
mistakes, be misguided and sometimes deliberately misuse the trust that is placed in them. And
disaster relief is no longer a small-time business. Today, even if those caught up in war are
excluded, something in the region of 250 to 300 million people a year are affected by disasters,
and this figure is growing at a rate of around 10 million a year. The Federation alone assisted
some 19.4 million disaster victims during 1994.
The immediacy of disaster relief can often lead NGOs unwittingly to put pressure on
themselves, pressure which leads to short-sighted and inappropriate work. Programmes which
rely on foreign imports or expertise, projects which pay little attention to local custom and
culture, and activities which accept the easy and high media profile tasks of relief but leave for
others the less appealing and more difficult ones of disaster preparedness and long-term
rehabilitation.
All NGOs, big and small, are susceptible to these internal and external pressures. And as NGOs
are asked to do more, and the incidence of complex disasters involving natural, economic and
often military factors increases, the need for some sort of basic professional code becomes
more and more pressing.
It is for all these reasons that six of the world's oldest and largest networks of NGOs came
together in 1994 with the Red Cross and Red Crescent Movement to draw up a professional
Code of Conduct to set, for the first time, universal basic standards to govern the way they
should work in disaster assistance.
The Code of Conduct, like most professional codes, is a voluntary one. It is applicable to any
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NGO, be it national or international, small or large. It lays down 10 points of principle which all
NGOs should adhere to in their disaster response work, and goes on to describe the
relationships agencies working in disasters should seek with donor governments, host
governments and the UN system.
The Code is self-policing. No one NGO is going to force another to act in a certain way and
there is as yet no international association for disaster-response NGOs which possesses any
authority to sanction its members.
It is hoped that NGOs around the world will find it useful and will want to commit themselves
publicly to abiding by it. Governments and donor bodies may want to use it as a yardstick
against which to judge the conduct of those agencies with which they work. And disasteraffected communities have a right to expect those who seek to assist them to measure up to
these standards.
Principle Commitments:
1. The Humanitarian imperative comes first.
2. Aid is given regardless of the race, creed or nationality of the recipients and without
adverse distinction of any kind. Aid priorities are calculated on the basis of need alone.
3. Aid will not be used to further a particular political or religious standpoint.
4. We shall endeavour not to act as instruments of government foreign policy.
5. We shall respect culture and custom.
6. We shall attempt to build disaster response on local capacities.
7. Ways shall be found to involve programme beneficiaries in the management of relief aid.
8. Relief aid must strive to reduce future vulnerabilities to disaster as well as meeting basic
needs.
9. We hold ourselves accountable to both those we seek to assist and those from whom
we accept resources.
10. In our information, publicity and advertising activities, we shall recognise disaster victims
as dignified human beings, not hopeless objects.
Annex B-2: Guidelines On: The Use of Military and Civil Defence Assets In Disaster Relief
– "Oslo Guidelines"
(Source: United Nations Office for the Coordination of Humanitarian Affairs (OCHA), view the
whole
document
at
http://www.reliefweb.int/rw/lib.nsf/db900SID/AMMF6VXJVG?OpenDocument)
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The "Oslo Guidelines" were originally prepared over a period of two years beginning in 1992.
They were the result of a collaborative effort that culminated in an international conference in
Oslo, Norway, in January 1994 and were released in May 1994. The following States and
Organizations were involved in this effort:
Argentina, Austria, Belgium, Germany, Indonesia, Italy, Japan, Kenya, the Netherlands,
Norway, Russian Federation, Switzerland, United Kingdom of Great Britain and Northern
Ireland, United States of America, AFDRU, Brown University's Watson Institute, DHA, European
Union/ECHO, ICDO, ICRC, IFRC, INSARAG, NATO, Steering Committee for Humanitarian
Response, UNHCR, UN Legal Liaison Office, University of Naples, University of Ruhr, WHO
and Western European Union. Over 180 delegates from 45 States and 25 organizations
attended the conference.
The unprecedented deployment in 2005 of military forces and assets in support of humanitarian
response to natural disasters, following an increasing trend over the past years, confirmed the
need to update the 1994 "Oslo Guidelines". The Consultative Group on the Use of Military and
Civil Defence Assets (MCDA), at its annual meeting in December 2005, tasked OCHA’s CivilMilitary Coordination Section (CMCS) with this facelift, to reflect current terminology and
organizational changes, following a layout similar to the 2003 "Guidelines on the Use of Military
and Civil Defence Assets to Support United Nations Humanitarian Activities in Complex
Emergencies" ("MCDA Guidelines").
The Oslo Guidelines were re-launched at an event hosted by the Government of Norway, in
Oslo, on 27 November 2006, held in conjunction with the annual meeting of the Consultative
Group on the Use of MCDA. Norway, Switzerland and Sweden took the lead in the update,
facilitated by OCHA’s Civil-Military Coordination Section / Emergency Services Branch.
Changes in this Revision 1.1 concern the addition of the word "foreign" in the title, as well as
additions for clarification to paragraph 5, as per consensus in the Extraordinary Session of the
Consultative Group on the Use of MCDA, on 28 November 2007.
Annex B-3: Civil-Military Guidelines & Reference for Complex Emergencies
(Source: United Nations Office for the Coordination of Humanitarian Affairs (OCHA), view the
whole document at http://www.reliefweb.int/rw/lib.nsf/db900SID/ASIN-7CHT7T?OpenDocument)
'CIVIL-MILITARY GUIDELINES & REFERENCE FOR COMPLEX EMERGENCIES' is the first
collection of core humanitarian instruments developed by the United Nations (UN) and the InterAgency Standing Committee (IASC) on civil-military relationship in complex emergencies. Its
goal is to help promote respect for international law, standards and principles in these
situations.
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Engaging military support for humanitarian operations is not a new endeavour. In today's
security environment, however, the military are ever more involved in the 'direct' provision of aid,
while humanitarian actors are often faced with situations where there are no alternatives but to
rely on the military, as a last resort, for safety and to access populations in need - at the serious
risk of compromising their neutrality, impartiality, and/or independence, and thus their ability
and/or credibility to operate.
Combined with the tides toward 'integration' and 'whole-of-government' approaches, as well as
the increased propensity of some Governments to deploy mixed civilian-military teams to
provide aid as a 'tool' to address security threats, the situation calls for enhanced
understandings between the military and humanitarian professionals at all levels.
International law, standards and principles can assist both actors to properly and legitimately
discharge their respective missions in far-away lands. Adhering to these and de-conflicting each
others' activities can maximise the effectiveness and efficiency of the respective operations.
These tasks are crucial when working in the same area.
Written in a practical, user-friendly style that brings together the essential guidance materials on
the subject into a single form, the Booklet aims to assist professionals to handle civil-military
issues in line with such law, standards and principles, in a manner that respects and
appropriately reflects humanitarian concerns at the strategic, operational and tactical levels.
Annex B 4-9: Secondary references
Annex B-4:
Guidelines on the domestic facilitation and regulation of international disaster relief and
initial recovery assistance (IDRL Guidelines 2007), Art. 11,
at http://www.ifrc.org/what/disasters/idrl/resources/guidelines.asp
Annex B-5:
Guidelines on the use of military and civil defence assets (MCDA) to support
United Nations humanitarian activities in complex emergencies, 2003,
at http://coe-dmha.org/Media/Guidance/3MCDAGuidelines.pdf
Annex B-6:
UN guidelines on Use of military or armed escorts for humanitarian convoys,
2001,
at http://www.who.int/hac/network/interagency/GuidelinesonArmedEscorts_Sep
t2001.pdf
Annex B-7:
Guidelines for UN and other Humanitarian Organizations on Interacting with
Military, Non-State Armed Actors and Other Security Actors in Iraq, 2008,
at http://ochaonline.un.org/OchaLinkClick.aspx?link=ocha&docId=1109265
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Annex B-8:
Security Council Resolutions 1511 (2003), 1546 (2004) and 1770 (2007),
at www.un.org
Annex B-9:
Humanitarian Negotiations with Armed Groups: A Manual for Practitioners,
2006
at http://ochaonline.un.org/humanitariannegotiations/Documents/Manual.pdf
Annex C: Field Office Checklist
To be completed
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Gender Policy
Approved February 2009
Page 235
CARE International Gender Policy
This Gender Policy defines CARE’s explicit commitments to support gender equality and the
principles expressed in these international agreements. The accompanying implementation
guideline sets out mechanisms and minimum common standards for all CARE members and
Country Offices. This policy statement therefore strives to make our collective programming
efforts more effective, builds on commitments made in the existing Policy Statements and
reflects subsequent developments in gender equality policies of development organizations
working to end poverty and social injustice. It thereby, sets the stage for increased
accountability.
Gender Policy Commitments
Through this policy CARE seeks to promote equal realization of dignity and human rights for
girls, women, boys and men, and the elimination of poverty and injustice. Specifically, this policy
is intended to improve the explicit incorporation of gender in programmatic and organizational
practices.
CARE International commits to:
a. Promote gender equality as an explicit internationally recognized human right.
b. Address systemic and structural practices that create barriers to the realization of
women’s rights and gender equality; including prevention and response to gender based
violence and sexual exploitation and abuse.
c. Support the empowerment of women and girls as a key strategy toward ending poverty,
conflict, human suffering and gender inequality.
d. Actively involve men and boys as allies in promoting gender equality.
e. Analyze and implement strategies to manage potential risks and harms to women, girls,
boys and men.
f. Engage and coordinate with partners, governments, funders and civil society
organizations to promote and support effective, creative and impactful ways to promote
gender equality
g. Monitor, evaluate and institutionalize organizational learning regarding specific gender
equality results.
h. Actively hold ourselves and others accountable to gender equality standards.
i. Ensure that key organizational policies, systems and practices including but not limited
to budgeting, human resource recruitment, training and management, and decision
making support women’s rights and gender equality.
j. Ensuring adequate funding to realize our commitments.
k. Apply these commitments within CARE and across all programme areas using
integrated planning approaches and recognized gender sensitive tools and techniques
such as gender analysis frameworks, collection of age/sex disaggregated data, and
results-focused design and evaluation.
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Policy Implementation
The policy is accompanied by proposed implementation arrangements, common standards and
supporting definitions. More operational guidance and enforcement will be developed by CI
members supported by the CI Gender Network as required to support the policy
implementation. To ensure the policy is effectively applied and achieves expected results, each
CARE member can further tailor implementation to their own organisational arrangements.
Policy review
CI will work collaboratively to undertake a review of this common gender policy. This will take
place after four years. The CI member representatives in the CI Gender Network will report
annually their progress in regard to their respective implementation plans. An annual summary
report will be submitted by the CI Gender Network to the CI Board via the CI Secretary General.
CARE International Gender Policy Implementation Guidance
Mechanisms for implementation
CI will implement, monitor and evaluate this policy. Each CARE member is encouraged to
devise a context-specific and realistic implementation plan / process, with appropriate
investment of resources, monitoring and evaluation mechanisms.
Common Standards in Support of Gender Equality
CARE members are required to meet these standards in order to end poverty and support the
dignity of all people.
CARE members will ensure that the following standards are applied, monitored, adhered to and
reported on:
1. Key organizational policy, planning and programmes will:
• incorporate gender and power analysis as a mandatory operational and/or design
feature.
• be based on data disaggregated by sex, age and other relevant diversity factors such
as ethinicity, religion, caste, etc.
• i) explicitly state gender equality results and ii) include relevant and feasible gender
sensitive indicators for every stage of planning, implementation, monitoring and
evaluation.
• i) ensure sufficient funding to meet gender requirements and ii) formulate staff work
plans and budgets accordingly.
2. Human Resources policies and practices will adequately address gender equality.
CARE members will track and report annually on gender balance in staffing and
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governance structures and implement specific strategies to balance male/female
representation.
3. CARE executive and senior management staff report regularly to beneficiaries, donors
and the public on progress on gender equality in CARE’s work through appropriate
reporting channels.
4. Each CARE member (office) must assess and enhance accordingly the organizational
capacity for the implementation of the policy.
Annex A: Gender Policy
Background
This harmonized policy represents the first step of CARE International (CI) 48 to take a cohesive
and coordinated approach to gender. The policy is based on the content of CARE International
members’ and Country Office’s gender policies 49. The policy defines CARE’s explicit
commitments to support gender equality and the principles expressed in these international
agreements .The policy can be tailored to maintain and complement CI members’ diversity,
whilst supporting common strategies and standards of action and accountability.
CARE’s vision is to seek a world of hope, tolerance and social justice; where poverty has been
overcome and people live in dignity and security. As part of CARE International’s mission
statement and programming principles 50, CARE commits to address discrimination in all its
forms. CARE recognizes that power relations between girls and boys, men and women
are unequal, and that such inequalities should be addressed. As such, CARE must
approach its work in a gender sensitive way.
Purpose
Through this Policy, CARE commits itself to ensure that gender equality is fully incorporated in
all CARE work both as an end in itself as well as a means to overcome poverty more effectively.
CARE seeks to promote equal realization of dignity and human rights for girls, women, boys and
men, and the elimination of poverty and injustice. By articulating common standards and
commitments, this harmonized policy aims to
48
Throughout this policy the term CARE International (CI) is used to denote every CARE office including
members of the federation and regional, sub-regional and country offices.
49
Information has been drawn from policies, guidelines or high-level strategies from CARE Australia,
Austria, Canada, Denmark, Norway, USA, and from India and Bangladesh COs. These documents
represent significant consultation with a wide range of CARE staff and partners about gender in CARE’s
work.
50
An elaboration on how gender is embedded within each programming principles is provided in Annex .
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•
•
•
•
•
•
•
•
Create a transparent and consistent message on CARE’s commitment to gender
equality at an international level and facilitate working relationships with national
governments and other international organisations
Create synergies by combining the strengths, good practice and lessons learned to-date
by CI members who have existing policy-level documents
Reduce the problem of mixed messages being received by County Offices on the
gender and development philosophy, objectives and requirements of different CARE
members supporting operations in each Country Office
Facilitate more coordinated action by CARE members at the International, regional and
country levels
Streamline Country Office programming considerations in relation to gender
Facilitate common accountability mechanisms for Country Offices and Regional
Management Units such as common ‘meet or exceed’ minimum standards
Facilitate the tailoring of implementation approaches to Country Office needs while
concurrently producing comparable results against CI-wide objectives for gender
equality and women’s empowerment
Provide credibility in engaging with partners and allies on gender at both programming
and advocacy.
Scope
This policy describes specific commitments, implementation mechanisms and common
standards for CARE to ensure gender equality is fully incorporated in its work. It calls on CI to
work in a collaborative way towards the goal of gender equality in all aspects of our work, as
well as urges individual members to strengthen their own actions to ensure the human rights of
women, girls, boys and men are equally promoted and protected.
Rationale
While there has been emphasis by CARE on promoting gender equality in all aspects of its
work, evaluations point to clear gaps in promoting gender equality. Internally, within CARE
International, many individual CARE project proposals, evaluations and reviews point to the
importance of gender analysis and interventions to promote gender equality in order for us to
make a significant impact on poverty and social injustice. CARE USA’s Strategic Impact Inquiry
(SII) focusing on women’s empowerment is one of the most comprehensive organizational
scans of how well CARE advances women’s empowerment. The SII process revealed a
startling lack of organizational clarity on how gendered power shapes poverty, and how we
should respond. .One of the key recommendations that resulted from the SII is the need to
clarify and commit to organizational policy framework, and then accountability systems to drive
it.
In the external environment that CARE operates in, there are a variety of international norms
and standards that guide CARE to fully embrace gender equality and the empowerment of
women in all areas of work.
International humanitarian, human rights, and refugee law share a common goal in aiming to
prevent and relieve suffering, and to protect and promote the rights and freedoms of women,
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girls, boys and men. As such, they complement and reinforce each other, thus providing a
comprehensive framework to ensure equal rights of women, girls, boys and men.
International commitments upholding the human rights of women and detailed thematic
implementation strategies have been ratified and signed by CI home and host governments.
These include the United Nations Charter and the Universal Declaration of Human Rights, the
Beijing Platform for Action, the Convention on the Elimination of all forms of Discrimination
Against Women (CEDAW), the Convention on the Rights of the Child (CRC), the commitments
laid out in the Millennium Development Goals, the Declaration on the Elimination of Violence
Against Women, the United Nations Security Council Resolution 1325 and 1820 and the
Agenda 21.
Reference is also made to the IASC (Inter-Agency Standing Committee) policy statement on
Gender Equality Programming in Humanitarian Action, including national commitments and
regional commitments to promote gender equality and women’s empowerment.
Gender Definitions for CARE International Policy
Gender
refers to the social differences between females and males throughout the life cycle that are
learned, and though deeply rooted in every culture, are changeable over time, and have wide
variations both within and between cultures. “Gender,” along with class and race, determines
the roles, power and resources for females and males in any culture. Historically, attention to
gender relations has been driven by the need to address women’s needs and circumstances as
they are typically more disadvantaged than men. Increasingly, however, the humanitarian
community is recognizing the need to know more about what men and boys face in crisis
situations.
Gender equality
or equality between women and men, refers to the equal enjoyment by women, girls, boys and
men of rights, opportunities, resources and rewards. Equality does not mean that women and
men are the same but that their enjoyment of rights, opportunities and life chances are not
governed or limited by whether they were born female or male.
Gender Equality Programming
is an umbrella term encompassing all strategies to achieve gender equality. Important examples
include gender mainstreaming, gender analysis, prevention and response to GBV and SEA,
promotion and protection of human rights, empowerment of women and girls, and gender
balance in the workplace.
Gender equity
Justice in the distribution of resources, benefits and responsibilities between women
and men, boys and girls. The concept recognises that power relations between girls and
boys, men and women are unequal, and that such inequalities should be addressed.
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Gender mainstreaming
is a globally recognized strategy for achieving gender equality. The Economic and Social
Council of the United Nations defined gender mainstreaming as the process of assessing the
implications for women and men of any planned action, including legislation, policies or
programmes, in all areas and at all levels. It is a strategy for making women’s as well as men’s
concerns and experiences an integral dimension of the design, implementation, monitoring and
evaluation of policies and programmes in all political, economic and societal spheres so that
women and men benefit equally and inequality is not perpetuated. For CARE, mainstreaming
gender means applying gender analysis to all aspects of our work, including advocacy and
communications. Gender is not a separate issue; it crosscuts all issues and sectors.
Gender-based violence
is an umbrella term for any harmful act that is perpetrated against a person’s will and that is
based on socially ascribed (gender) differences between females and males. The nature and
extent of specific types of GBV vary across cultures, countries and regions. Examples include
sexual violence, including sexual exploitation/abuse and forced prostitution; domestic violence;
trafficking; forced/early marriage; harmful traditional practices such as female genital mutilation;
honour killings; and widow inheritance.
Sexual Exploitation
The abuse of a position of vulnerability, differential power, or trust for sexual purposes; this
includes profiting monetarily, socially or politically from the sexual exploitation of another. (UN
SGB Definition)
Sexual abuse
The actual or threatened physical intrusion of a sexual nature, including inappropriate touching,
by force or under unequal or coercive conditions.
Women’s Empowerment
Involves awareness-raising, building of self confidence, expansion of choices, increased access
to and control over resources and actions to transform the structures and institutions which
reinforce and perpetuate gender discrimination and inequality. Empowerment comes from
within; women empower themselves. Increase women’s power through power to; power with
and power from within which focus on utilizing individuals and collective strengths to work
towards common goals without coercion or domination
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Figure 8: Gender Equality & Diversity and the CARE
Programming Principles
Social Justice, Tolerance, Dignity and Security are at the center of our Vision and
enshrined in the six programming principles of CARE. The objective of our Gender
Equality and Diversity work is to support the critical processes for achieving that vision.
Principle
Principle
1:
Promote
Empowerment
What does it mean?
We stand in solidarity with
poor
and
marginalized
people, and support their
efforts to take control of their
own lives and fulfill their
rights, responsibilities and
aspirations. We ensure that
key participants representing
affected people are involved
in
the
design,
implementation, monitoring
and evaluation of our
programs.
Principle
2: We work with others to
Work
in maximize the impact of our
partnership
programs, building alliances
with others
and partnerships with those
who offer complementary
approaches, are able to
adopt effective programming
approaches on a larger
scale, and/or who have
responsibility to fulfill rights
and alleviate poverty through
policy
change
and
enforcement.
Principle
3: We seek ways to be held
Ensure
accountable to poor and
Accountability marginalized people whose
and Promote rights are denied.
We
Responsibility identify those with an
obligation toward poor and
How does GED relate to this?
Understanding and engaging the power
relations between women and men and
between other subordinate and dominant
groups and empowering women and other
marginalized groups is a critical part of our
work on promoting Gender Equity and
Diversity.
CARE’s
GED
Training
Curriculum and Resources offer analytical
tools and strategies to advance this principle.
Having good quality staff relationship with our
communities will help in designing and
implementing
more
relevant
and
empowering programs. Appreciating and
understanding diverse perspectives will
create more innovative solutions to complex
problems.
This principle implies that CARE will be
working with a variety of organizations that
may be similar as well as those who may be
quite different from us. CARE may be in a
dominant position with respect to the
national/local partners and may be in a
subordinate position with respect to some
Governments and Donor organizations.
Being aware and appreciative of the
differences and the power dynamics will
enable CARE to have effective engagement
and beneficial relationships with a variety of
Partners.
Accountability is one of the four leverage
areas (along with Representation, Trust,
Learning & Effectiveness) for advancing
Gender Equality and Diversity. GED
awareness tools can be strategically used to
work with those with an obligation towards
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marginalized people, and
support and encourage their
efforts
to
fulfill
their
responsibilities.
Principle
4: In our programs and offices
Address
we oppose discrimination
Discrimination and the denial of rights
based
on
sex,
race,
nationality, ethnicity, class,
religion, age, physical ability,
caste, opinion or sexual
orientation.
Principle
5:
Promote non
violent
resolution of
conflicts
We promote just and nonviolent means for preventing
and
resolving
conflicts,
noting that such conflicts
contribute to poverty and the
denial of rights.
Principle
6: By acting to identify and
Seek
address underlying causes
Sustainable
of poverty and rights denial,
Results
we
develop
and
use
approaches that ensure our
programs result in lasting
and
fundamental
improvements in the lives of
the poor and marginalized
with whom we work.
the poor and the marginalized to create
awareness about their power, privileges,
and rights and encourage their efforts to
fulfill their responsibilities.
The primary objective of our Gender Equality
and Diversity work is to understand and
address the individual, group, institutional,
and societal discrimination of people
based on Gender and other Diversity factors.
Gender issues are prevalent in almost all the
countries where CARE operates, and women
are in subordinate positions. Consequently,
women form a critical mass of the poor and
marginalized people that CARE seeks to
support in their efforts to fulfill their rights.
CARE increasingly works in many
situations strife with ethnic and other forms
of conflicts that are violent and targets
specific minorities or subordinated
groups of people. These leave physical,
social and psychological scars that leave
them vulnerable for the reminder of their
lives.
Gender-based violence, including domestic
violence,
is
prevalent
in
many
communities in which CARE works. This
scars
women
physically
and
psychologically;
severely
affecting
women’s dignity and personal security
and suppresses their potential to take
control of their lives.
Unequal gender relations are one of the
underlying causes of poverty and rights
denial that cuts across most of the
communities
that
CARE
works
in.
Implementing strategies to improve the
social agency, structures, and key
relationship positions of women and other
diverse subordinated and marginalized
groups will result in lasting and fundamental
improvements in the lives of people with
whom we work.
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We hold ourselves accountable for enacting behaviours consistent with these principles,
and ask others to help us do so, not only in our programming, but in all that we do. Our
organizational focus and on-going commitment to Gender Equity and Diversity is
specifically aimed at holding ourselves accountable to these principles in all that we do.
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Policy on Prevention and Response to Sexual
Exploitation and Abuse
Approved September 2009
Page 245
CARE International Policy on Prevention and Response to Sexual
Exploitation and Abuse1
CARE International places human dignity at the centre of its relief and development work. CI
takes seriously all concerns about sexual exploitation and abuse1 and complaints about them
brought to our attention. CI initiates rigorous investigation of complaints that indicate a possible
violation of this Policy on Prevention and Response to Sexual Exploitation and Abuse (“PSEA
Policy” or Policy”) and takes appropriate disciplinary action, as warranted. This policy applies to
complaints of sexual exploitation and abuse involving CARE Employees and RelatedPersonnel. 51
Background
We publicly affirmed the determination of all members of the CARE family (CARE International
and all members or affiliates of the CI Federation and their country offices, collectively referred
to as “CARE”) to prevent acts of sexual exploitation and abuse by CARE Employees and
Related-Personnel when we signed the Statement of Commitment on Eliminating Sexual
Exploitation and Abuse by UN and Non-UN personnel in December 2006. On the same
occasion, we reaffirmed our goal of achieving full implementation of the six core principles
adopted in 2002 by the Inter-Agency Standing Committee Task Force on Prevention and
Response to Sexual Exploitation and Abuse.
Core Principles
The Core Principles provide that:
•
Sexual exploitation and abuse by humanitarian workers are acts of gross misconduct and
are therefore grounds for termination of employment.
•
Sexual activity with children (persons under the age of 18) is prohibited regardless of the
local age of consent, i.e. the local or national laws of the country you are working in.
Ignorance or mistaken belief in the age of the child is not a defence.
•
Exchange of money, employment, goods or services for sex, including sexual favours or
other forms of humiliating, degrading or exploitative behaviour by CARE Employees and
Related Personnel is prohibited. This includes the exchange of assistance that is due to
participants.
51
We define “CARE Employees and Related Personnel” broadly to include all employees of CI, CI Members or
affiliates and their country offices, and board members, volunteers, interns, international and local consultants as well
as individual and corporate contractors of these entities and related personnel, such as non-CARE entities, and their
employees, and individuals who have entered into partnership, subgrant or subrecepient agreements with CARE.
Page 246
•
Sexual relationships between CARE employees and participants of CARE’s programs are
strongly discouraged since they are based on inherently unequal power dynamics. Such
relationships undermine the credibility and integrity of CARE’s relief and development work.
•
When a CARE employee develops concerns or suspicions regarding sexual exploitation or
abuse by a CARE Employee or Related-Personnel s/he must report such concerns via the
established reporting procedures of the appropriate CARE entity.
•
CARE employees are obliged to create and maintain an environment that prevents sexual
exploitation and abuse and promotes the implementation of this Policy. CARE Managers at
all levels have particular responsibilities to support and develop systems that maintain this
environment.
Commitments
Managers and supervisors must ensure that all CARE Employees and Related-Personnel
understand and comply with this Policy and its Core Principles. To aid in implementing this
Policy and in educating CARE Employees and Related-Personnel, CARE International and its
managers and supervisors commit to:
1. Develop organization-specific strategies to prevent and respond to sexual exploitation
and abuse.
2. Incorporate our standards on sexual exploitation and abuse in induction materials and
training courses for our employees and in other relevant organizational codes of
conduct.
3. Incorporate appropriate job responsibilities (such as staff training, complaints and
response mechanisms, coordinating high-level oversight and progress reports) in
specific staff positions to support and ensure effective implementation of organizational
strategies to prevent and respond to sexual exploitation and abuse.
4.
In compliance with applicable laws and to the best of our abilities, prevent perpetrators
of sexual exploitation and abuse from being rehired or redeployed by CARE. This could
include use of background and criminal reference checks.
5. Establish and ensure that complaint mechanisms for reporting sexual exploitation and
abuse are accessible, particularly to participants of CARE programs, and that CARE
focal points for receiving complaints understand how to discharge their duties.
6. Take appropriate action to the best of our abilities to protect persons from retaliation
when allegations of sexual exploitation and abuse are made in good faith.
7. Investigate allegations of sexual exploitation and abuse involving CARE Employees in a
timely and professional manner, and to the best of our ability encourage Related
Personnel to do the same. This includes the use of appropriate interviewing practices
Page 247
with complainants and witnesses, particularly with children. Engage professional
investigators or secure investigative expertise as appropriate.
8. Take swift and appropriate action, including legal action when required, against CARE
Employees and Related-Personnel who commit sexual exploitation and abuse. This may
include administrative or disciplinary action, and/or referral to the relevant authorities for
appropriate action, including criminal prosecution, in the abuser’s country of origin as
well as the host country.
9. Provide basic emergency assistance (medical, legal) and basic psychosocial support as
appropriate and feasible to complainants of sexual exploitation and abuse.
10. Create and maintain mechanisms to systematically educate CARE Employees and
Related-Personnel and the communities we serve on measures taken to prevent and
respond to sexual exploitation and abuse.
11. Ensure that when engaging in partnership, subgrant or subrecepient agreements, these
agreements a) incorporate this Policy as an attachment; b) include the appropriate
language requiring such contracting entities and individuals, and their employees and
volunteers to comply with this Policy; and c) expressly state that the failure of those
entities or individuals, as appropriate, to take preventive measures against sexual
exploitation and abuse, to investigate allegations thereof, or to take corrective actions
when sexual exploitation or abuse has occurred, shall constitute grounds for CARE to
terminate such agreements.
12. Ensure high level oversight and information systems on SEA reports received and
actions taken in order to monitor effectiveness, report progress and improve efforts to
prevent and respond to sexual exploitation and abuse.
13. Engage the support of communities and governments to prevent and respond to sexual
exploitation and abuse.
14. Undertake a review of CARE International’s policy to prevent and respond to sexual
exploitation and abuse at least every five years.
Employee Standards
CARE International’s capacity to achieve its vision and mission depends upon each and every
one of us in the CARE family, individually and collectively. To this end, all employees of CARE
must uphold and promote the highest standards of ethical and professional conduct and abide
by CARE’s policies. This PSEA Policy sets the minimum standards to be followed by all CARE
employees. Each CI member or affiliate is encouraged to strive for more effective standards
and define their own strategies and procedures to uphold this PSEA Policy and the Core
Principles on which it is based.
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The need for this Policy flows from a recognition that our work often puts CARE employees in
positions of power in relation to the communities we work with, especially vulnerable women
and children. We have an obligation to use our power respectfully and must not abuse the
power and influence we have over the lives and well-being of the participants of our programs
and others in the communities where CARE works.
These Standards apply to all CARE Employees and are intended to provide an illustrative guide
for employees to make ethical decisions in their professional and personal lives. Any violation of
these Standards is serious a concern and may result in disciplinary action, up to and including
dismissal, in accordance with disciplinary procedures of each CARE International member or
affiliate and applicable laws.
1. Employees will not request any service or sexual favour from participants of CARE
programs, children or others in the communities in which CARE works in return for
protection or assistance, and will not engage in sexually exploitative relationships.
2. Employees will not exchange money, employment, goods or services for sex, including
sexual favours or other forms of humiliating, degrading or exploitative behaviour. This
prohibition against exchange of money for sex means CARE employees may not engage
the services of sex workers while on CARE business, including on CARE premises or
accommodation, or while travelling to/from or attending workshops, meetings and trainings,
regardless of the local or national law concerning sex work or prostitution in the country.
3. Employees are strongly discouraged from having sex or engaging in sexual activities with
program participants because there is an inherent conflict of interest and potential for abuse
of power in such a relationship. If an employee engages in sex or sexual activities with a
program participant, the employee must disclose this conduct to his /her supervisor for
appropriate guidance. Failure to report such conduct may lead to disciplinary action
pursuant to CARE’s policies and procedures.
4. Employees must refrain from sexual activity with any person under the age of 18, regardless
of the local age of consent, i.e. the local or national laws of the country in which the
employee works. Ignorance or mistaken belief of the child’s age is not a defense. Failure to
report such a relationship may lead to disciplinary action pursuant to CARE’s policies and
procedures.
5. Employees will not support or take part in any form of sexual exploitative or abusive
activities, including, for example, child pornography or trafficking of human beings.
6. Employees must report any concerns or suspicions they have regarding possible violations
of this SEA Policy via CARE’s reporting mechanism. 52 Employees must report any such
concerns via CARE established reporting procedures even when the person who may be in
violation of this Policy is Related Personnel, as previously defined, and not a CARE
employee.
7. Sensitive information related to incidents of sexual exploitation and abuse whether involving
colleagues, program participants or others in the communities in which CARE works shall be
52
Every office of CARE International is required to establish appropriate reporting mechanisms and disseminate the
same to its entire staff. For example, CARE USA encourages its employees to report wrongful conduct of an
employee to a supervisor, manager at a higher level, Internal Audit, or the Office of General Counsel. In addition to
that, CARE USA has established an additional reporting mechanism for employees called the reporting hotline.
Page 249
shared only with enforcement authorities and CARE agents and employees of the
appropriate seniority or function who have a need to know such information.
8. Employees must undertake to create and maintain an environment that promotes
implementation of this Policy.
9. Managers and supervisors at all levels have particular responsibilities to support and
develop systems that maintain an environment that facilitates implementation of this Policy
and which is free of exploitation and abuse.
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CI Safety and Security Principles
November 2008
Page 251
Introduction
A significant proportion of CARE activities are taking place in hostile or dangerous environments
and safety and security of CARE staff is our primary consideration.
CARE International has invested considerable effort to improve the safety and security
conditions and practices of its staff which is increasingly exposed to violence and personal
danger in the conduct of their work.
While the humanitarian imperative is at the foundation of CARE’s mandate, it must be exercised
in conjunction with the determination of levels of acceptable risk to staff and assets. Program
design - including advocacy initiatives, finance decisions, human resource matters,
management and program delivery - must include an appropriate analysis of their inherent risks
There will always be varying degrees of risk to staff given the nature of CARE’s mandate and
mission. CARE can, however, reduce the risk by establishing guiding principles, respecting
minimum standards and create the foundation for future policies.
In addition, CARE is dedicated to enhancing staff safety and security through the dissemination
of organizational policies and good practices; incident reporting and trend analysis; and
dedicated security trainings and technical assistance being provided to staff in the field, such as
security reviews and assessments. Ultimately all CARE staff members have a responsibility to
develop and promote CARE’s safety and security culture.
The Six Principles of Safety and Security Management at CARE
International
The CARE International Safety and Security Principles are designed to capture the most
essential elements of CI’s approach to staff safety and security.
The Six Principles are listed below and further elaborated on the following pages:
1. All CARE International Confederation Members will hold themselves accountable
for maintaining and respecting the CARE International Safety and Security
principles through their policies, protocols and procedures.
2. Safety and security is everyone’s responsibility within CARE International through
full compliance and accountability.
3. Program and program support decisions must be informed by appropriate safety
and security considerations at all levels.
4. There must be clear lines of authority and decision-making mechanisms that
underpin safety and security.
5. All CARE International Confederation Members will comply with the Minimal
Operating Security Standards (MOSS).
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6. CARE staff will be equipped, trained and supported in the area of safety and
security, appropriate for the safety and security conditions of their assignment. 53
Principle 1
All CARE International Confederation Members will hold themselves accountable for
maintaining and respecting the CARE International Safety and Security principles
through their policies, protocols and procedures
Every CI member is responsible to develop a culture of safety and security awareness and
responsibility within its staff. Individual responsibility must be viewed as the foundation for
organizational safety and security standards. Enforcement of safety and security standards
must be exercised at each level of line management. The Safety and Security Principles,
implemented through safety and security policies, protocols and procedures, are the foundation
of CARE’s ability to exercise its mandate.
Principle 2
Safety and security is everyone’s responsibility within CARE International through full
compliance and accountability
All CI members are responsible for ensuring safety and security best practice. Although each
staff member bears personal responsibility for her/his own safety and security, senior
management will exercise leadership and guidance to require the highest level of due diligence
from all staff.
Principle 3
Program and program support decisions must be informed by appropriate safety and
security considerations at all levels
Operational parts of CI shall ensure that action plans are consistent with safety and security
policies and that safety and security functions are adequately resourced.
53
Standards and requirements of training to be determined by the CI Security Director in consultation with the CI
Safety and Security Management Working Group.
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Safety and security practices shall be incorporated in all phases of the program cycle including
program identification, design, planning, implementation and, and evaluation phases.
Principle 4
There must be clear lines of authority and decision-making mechanisms that underpin
safety and security
Line management at all levels must ensure that safety and security policies are understood and
taken into account and appropriate procedures are developed. Functioning emergency
procedures require the creation and rehearsal of crisis management team protocols, with backup plans and clear lines of authority.
Principle 5
All CARE International Confederation Members will comply with the Minimal Operating
Security Standards (MOSS)
MOSS constitutes the foundation of all CARE policy and operating standards and procedures
with regard to safety and security considerations. All CARE deployment in the field shall be
planned and executed according to the provisions of the Minimum Operating Security
Standards (MOSS):
Standard 1: Organizational Security Policy and Plans
CARE International Confederation Members shall have policies addressing key security
issues and formal plans at both field and headquarters levels to address these issues.
Standard 2: Resources to Address Security
CARE International Confederation Members shall make available appropriate resources to
meet these Minimum Operating Security Standards.
Standard 3: Human Resource Management
CARE International Confederation Members shall implement reasonable hiring policies and
personnel procedures to prepare staff to cope with the security issues at their post of
assignment, support them during their service, and address post-assignment issues.
Standard 4: Accountability
CARE International Confederation Members shall incorporate accountability for security into
their management systems at both field and headquarters levels. CARE International
Members shall develop clear lines of responsibility for decision-making with regard to staff
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security and delegate to employees charged with those responsibilities the authority to
ensure compliance.
Establishing clear lines of responsibility and authority, as well as systems and structures for
implementation of the organization’s security policies, plans, and procedures helps ensure
that these are observed.
Standard 5: Sense of Community
CARE International Confederation Members shall work in a collaborative manner with other
members of the humanitarian and development community to advance their common
security interests.
Principle 6
CARE staff will be equipped, trained and supported in the area of safety and security,
appropriate for the safety and security conditions of their assignment 54
Staff will have appropriate safety and security training before they are deployed to their areas of
operations or before they begin their job responsibilities. This includes national and international
staff. They must have the awareness and skills commensurate with the safety and security
environment to which they will be exposed. Although some safety and security procedures and
processes may be unique to either national or international staff, it is essential to CARE’s
mission that CARE staff are adequately prepared.
54 Standards and requirements of training to be determined by the CI Security Director in consultation with the CI
Safety and Security Management Working Group.
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Guidelines & Procedures for Safe Travel
to Country Offices
This document applies to:
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CARE staff and recognized partners, their relatives, CARE partners, volunteers, Board
members, consultants or persons with other contractual links to CARE when travelling to a
CARE Country Office or others field locations where CARE may have a programming presence
without being an established Country Office
Glossary of Acronyms
CD
Country Director
MOSS
CI
CISSU
RED
RMU
CO
CPR
HQ
CARE International
CARE International Safety and
Security Unit
Country Office
Cardiopulmonary resuscitation
Headquarters
HR
LM
Human Resources
Lead Member
SSO
WoR
SOP
SSFP
SSMP
Minimum Operating Security
Standards
Record of Emergency Data
Regional Management Unit
Standing Operating Procedures
Safety and Security Focal Point
Safety and Security Management
Plan
Safety and Security Officer
Waiver of Responsibility
Introduction
This document is directed towards all CARE staff and registered partners, their relatives, CARE
partners, volunteers, Board members, consultants or persons with other contractual links to
CARE (hereafter referred to as “staff” unless otherwise specified) when travelling to a CARE
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Country Office or others field locations where CARE may have a programming presence without
having an established Country Office (in the following “Country Office” unless otherwise
specified). It sets out standards, strongly recommended to be followed when arranging CARErelated travel, upon arrival and while travelling in-country. It is the responsibility of the staff
travelling, to follow the standards and procedures stated in these guidelines.
I: Relevant CARE International Safety and Security Principles
PRINCIPLE 5
All CARE International Confederation Members will comply with the Minimal
Operating Security Standards (MOSS)
MOSS constitutes the foundation of all CARE policy and operating standards and
procedures with regard to safety and security considerations. All CARE deployment in the
field should be planned and executed according to the provisions of the Minimum
Operating Security Standards (MOSS):
…
Standard 3: Human Resource Management
CARE International Confederation Members should implement reasonable hiring policies
and personnel procedures to prepare staff to cope with the security issues at their post of
assignment, support them during their service, and address post-assignment issues.
PRINCIPLE 6
CARE staff will be equipped, trained and supported in the area of safety and security,
appropriate for the safety and security conditions of their assignment
Staff will have appropriate safety and security training before they are deployed to their
areas of operations or before they begin their job responsibilities. This includes national and
international staff. They must have the awareness and skills commensurate with the safety
and security environment to which they will be exposed. Although some safety and security
procedures and processes may be unique to either national or international staff, it is
essential to CARE’s mission that CARE staff are adequately prepared.
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II: CARE International Standards for Safe Travel to COUNTRY OFFICES
CARE Confederation Members have developed and approved specific standards that
cover the main aspects of deployment to the field. These standards (listed below) are
used as foundation for the development of the current guidelines.
·
Staff should have a full safety and security briefing since joining CARE including
→ A basic orientation on the CARE International Safety and Security Principles and
the other safety and security policies and procedures that apply to all CARE
International Members as well as the specific safety and security policies and
procedures of their employing CARE member.
→ The completion of the CARE Academy “Personal Security Awareness” learning
module.
·
·
Staff should have received a copy of the CARE International Safety and Security
Handbook
It is also recommended that, as and where appropriate, staff should be trained in:
→ The general nature and scope of CARE Safety and Security Standard Operating
Procedures (SOPs) as well as Contingency Plans
→ First Aid
→ Basic fire safety
·
Before travelling, staff should:
→ Receive consent from the Country Director(s) to travel to the Country Office(s).
→ Contact the Country Office(s) to obtain pre-departure safety and security
information about particular country, safety and security and health advice.
→ Provide the Country Office with a completed Record of emergency Data (RED) form.
→ Read the destination country’s travel advisories on the relevant government.
→
→
→
→
→
Register travel plan with relevant embassy.
Have an adequate insurance coverage.
Ensure vaccinations are up to date for the countries of destination.
Ensure awareness of health risks and take every precaution.
Arrange a safety and security briefing by the Country Office immediately upon
arrival and before undertaking any activity in the country.
→ Understand the need to


Stay in contact with the designated Country Office and home office contacts,

Report any safety and security incidents that occur during their visit, to the
designated Country Office and home office safety and security contact.
Follow safety and security directions whilst in-country and adjust plans
accordingly
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CARE International Members should ensure that staff are aware of, and comply with these
standards when travelling to a Country Office.
Procedural guidance on these standards is provided below.
III: Procedural Guidance on CI recommended Standards for Country
Office Travel
1. Pre-travel preparation
Appropriate safety and security measures should be taken by all CARE staff prior to any type of
travel (field mission, travel for work purposes, etc.) to a CARE Office. Staff should be wellinformed, well-prepared and well-equipped to ensure a safe and secure trip.
a. Training
All persons to whom this policy applies should, prior to deployment:
- Receive a basic orientation on the CARE International Safety and Security Principles
and the other safety and security policies and procedures that apply to all CARE
International Members, as well as the specific safety and security policies and
procedures of their employing CARE member.
- Complete the CARE Academy “Personal Security Awareness” Learning Module 1 before
travelling. They should register and complete the course at CARE Academy.
It is also recommended that, as and where appropriate, the staff travelling should be trained in:
- the general nature and scope of CARE safety and security standard operating
procedures (SOPs), as well as contingency plans,
- First Aid,
- basic fire safety.
b. Travel Notification
All work-related travel by staff to CARE Country Offices has to be requested in advance and
approved at the national headquarters (based on prior advice from the CO and/or Regional
Management Unit (RMU)).
Specific approval to visit must be granted by the Country Office (normally Country Director).
This should include clearance by the relevant Safety and Security Units, Advisors, and
Officers/Focal Points.
Staff should leave a copy of their full itinerary and copies of the travel documents and contact
details for the duration and locations of their travel in their home office with their line manager or
responsible person.
c. Briefing
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Before travelling, the person concerned should ensure that s/he has received a visitor’s safety
and security briefing from the respective Country Office (or RMU). In case of travel to a non-CO
country, staff should receive a briefing by the respective Safety and Security Unit (CARE LM,
national members and/or CISSU). CI members should ensure that all staff to be deployed has
received necessary information pertaining to safety and security, as well as conditions prevailing
in the country of assignment, including health hazards. It is, however, the responsibility of the
person travelling to become familiar with the relevant political, social and cultural features of the
country concerned.
See Annex 4 for a sample Country Office Briefing template.
d. Travel Restrictions
The Lead Member, Regional Management Unit or the Country Office may issue a travel ban for
specific locations/countries if it considers this, warranted by safety and security conditions.
These instructions must be respected at all times.
e. Record of Emergency Data (RED)
Persons planning to travel to the field should fill in a Record of Emergency Data (RED), leave a
copy with the HR department and transmit a copy in advance to the Country Office(s) (and/or
RMU).
Additionally, staff should take a hard copy of the RED with them in a sealed envelope and leave
it in the CO’s safe, informing the respective CD, SSO or other person of trust who is aware of
the travel plans of the person’s visit in the country.
See Annex 1 for a sample RED template.
f. Insurance
Staff must be adequately insured for the country(s) of destination. The insurance should cover
illness, accidents, medical evacuation, and repatriation. Special care must be taken that
insurance coverage is adequate for the level and nature of risk (e.g. conflict zones, where
relevant) and that staff are aware of any exclusions.
g. Health
All staff must be medically fit for travel.
CI members should provide their staff with the necessary access to information and competent
health advice related to health risks prevailing in the country of deployment so as to be able to
determine the required preventative health measures (e.g. immunisation and prophylaxis).
CARE members should develop policies and procedures concerning the contribution to, or the
reimbursement of, costs related to necessary medical immunisation and prophylaxis. Staff must
be sure to bring any necessary personal medications.
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h. Accommodation
The choice of accommodation, in particular hotels and respective rooms, should fulfil the
conditions stated in the CI Safety and Security Handbook, Chapter 4, Personal Safety and
Security “Hotels” (p. 67). The Country Office is responsible for providing advice on or approval
of the appropriate choice of accommodation.
i. Document and IT security
It is recommended that sensitive documents should not be carried on paper or portable data
storage media (such as USB, external hard drives, computers and/or cameras), as these are
vulnerable to being confiscated or stolen. It is instead recommended where feasible to store
sensitive data on a remote database which can be safely accessed via an internet connection.
j. Staff Responsibility
Staff should formally indicate that they have been briefed about the safety and security situation
at their destination and that they understand the contingent risks associated with their travel.
They should confirm that they will comply with all safety and security instructions during their
assignment.
See Annex 2 for a sample template of “Acceptance of personal responsibility” (of CARE
International Switzerland) and Annex 3 for a sample Travel Checklist template. A signed copy
should be left with the HR department.
2. Travel checklist (Safe International Travel Release Form)
It is strongly recommended that CARE members have a Travel Checklist (Safe International
Travel Release Form) and that staff travelling to Country Offices must complete and sign the
Travel Checklist (Safe International Travel Release Form) prior to travelling. This can be built
into procedures for the release of tickets and or travel advances/per diems.
See Annex 3 for a sample Travel Checklist template.
3. Safety and Security Briefing upon arrival
The travel itinerary agreed with the Country Office should include a safety and security briefing
that is scheduled to be carried out immediately upon arrival at the Country Office and before
undertaking any activity in the country. This will be in addition to the briefing received prior to
travelling.
4. Staying in contact
Upon arrival in the country of destination, staff should pass on the name of the person who has
their itinerary and copies of their other documents to their line manager/ key contact in the
Country Office.
During their mission, the travelling staff should maintain contact with their line manager / key
contact(s) in the Country Office.
5. Crisis Situation
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Whilst in country, visiting staff must follow all safety and security directions given by authorised
persons and adapt their travel plans as necessary.
Should the security condition in the country worsen during the trip, staff must contact the SSO/
SSFP, or the line manager immediately to consult on and adapt travel plans if necessary. In the
event of injury or sickness, and where staff are unable to contact their CO Line Manger, they
should make the necessary arrangements for travel through the CO and inform their CARE HQ.
6. Incident Reporting
In case of a safety and/or security incident during travel, staff must immediately inform the CD
and/or SSO/ SSFP of the Country Office, who will then file an incident report advising the Lead
member and CISSU {e.g. on the Safety and Security Incident Monitoring System (SSIMS)}.
When travelling in a non-CO country, incidents must be reported directly to the employing
member Safety and Security Unit or the national headquarters and CISSU.
7. Feedback
If the person travelling discovers before or during travel that the safety and security standards of
this policy are not respected, the Safety and Security Unit of the respective Lead Member or
CISSU should be notified.
Annex A: SAMPLE TEMPLATE - Record of Emergency Data
(RED)
NAME:
Address:
DATE:
Phone:
Mobile:
Email:
Emergency Contact Information
Primary Contact:
Address:
Relation:
Place of Employment:
Phone:
Cell:
Email:
Work #:
Secondary Contact:
Address:
Phone:
Relation:
Additional Family*:
Email:
Relation:
Contact Info:
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Proof of Identity (emergency question and answer):
Notes*:
Medical Information
Health insurance name:
Health insurance contact
details:
Repatriation arrangement,
if applicable:
Blood Type:
Allergies:
Medications*:
Medical Conditions*:
Passport Information
Nationality:
Passport number:
Issued on and valid until:
Additional Information – Special wishes*
# At least one of the contacts provided (e.g. secondary contact) should be located outside the
country being visited.
*optional
It is the responsibility of the staff to regularly update the RED and to inform the Finance &
Administration Officer of any revision. The RED document is a confidential document. It is saved
in a locked place and is accessible in case of emergency by the Finance & Administration
Officer, Safety & Security Director and the Emergency HR Coordinator.
Annex B: SAMPLE TEMPLATE - Acceptance of personal
responsibility
(Mandatory for CI Switzerland staff)
1. The nature of CARE International’s mandate in conflict zones implies that dangerous
conditions are part of the working environment. Working with CARE can involve different
kinds of risk and danger. These can include criminal acts by others, the effects of conflict
and environmental hazards, serious illness and accidents.
2. Physical and psychological harm (including disability) and even the risk of dying are among
irreducible risks that you accept when undertaking a field assignment with CARE. These
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risks should not be underestimated and to manage them effectively you need to
demonstrate the level of self-restraint and discipline required by given circumstances.
3. You are accountable for your personal and professional actions and conduct. Your actions
have an impact not only on your personal safety and security, but also on the safety and the
security of others.
4. Every individual is responsible for ensuring safety and security at his/her own level.
Gathering, transmission and analysis of information regarding safety and security, contacts
with the parties and risk assessment are the responsibility of everyone in accordance with
his/her role in the field.
5. You should be familiar and comply with the principles and content of CARE’s Safety &
Security Handbook, and you should consult it every time a safety or security question arises.
6. You should know and respect CARE’s safety and security rules pertaining to the country of
assignment and seek the support and advice of the country director. This is especially true if
you have any doubts concerning risks that you think may be unacceptable. You should
respect any oral or written instructions provided in safety and security briefings.
7. You should know and comply with CARE’s Code of Conduct, based on the International Red
Cross and Red Crescent Movement code of conduct (adopted by CARE board in 1996).
8. You should comply with the laws and regulations of the country of assignment, including
those dealing with safety and security, drugs, traffic rules and currency transactions.
9. Compliance with local rules may affect personal choices, such as dress code, living
arrangements, travel policy, free time, companionship, and gender relations. You should
ensure that your conduct does not adversely affect CARE’s image and reputation, especially
with regard to local customs.
10. If you have any doubts about the risks you are prepared to accept, or about the application
of these rules, you should seek the support and advice of your supervisor or appropriate
senior CARE manager. You have also the right to refuse deployment or interrupt your
mission or contract if you cannot accept above risks anymore.
11. In all cases CARE's personal liability is expressly excluded. If you are a CARE employee,
CARE's liability is limited to the conclusion of the insurance coverage you have been
informed about and which you accept as the sole source of "relief" in case of an accident or
illness.
12. In the event of a serious incident, CARE reserves the right to restrict its communications to
the contact persons you named at the time of your engagement (Record of Emergency
Data). If there is any change in this respect, you should notify the human resources
administrator immediately.
13. The provisions of this document remain in force for the duration of your mission or contract
with the CARE. Any information that may have negative consequences on the safety and
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security of CARE work and "personnel" should be kept confidential even after the end of
your contract with CARE.
14. By signing this document, you confirm that you have been informed of the above and that
you freely accept the risks inherent in your humanitarian work.
15. Should you fail to comply with these rules, CARE is authorized to take measures ranging
from a verbal warning to termination of your contract.
16. Law; Venue. This Waiver is exclusively governed by the laws of Switzerland without regard to
conflicts principles. The competent courts are exclusively those of Geneva and the Federal Court
of Switzerland.
Read and accepted............................................. (place),
.............................…................(date)
Name: ................................................ Signature: ..........………………........................
Annex C: SAMPLE TEMPLATE - Travel Checklist
(Safe International Travel Release Form)
It is the responsibility of all CARE International Member staff to take precautions to assist their safe and
secure international travel when on CARE business.
Tick the boxes to confirm.
My travel plans have been approved by my line-manager __________________________.

I will carry an internationally valid accident and medical emergency/evacuation contact card.

My vaccinations are up to date for the countries of destination.

I have read the destination country’s travel advisories and medical updates according to
____________________.

I have contacted the CARE Country Office (as well RMU, HQ Safety and Security Unit or
CISSU where required) for my destinations to ask about particular country, security and
health advice.

I have received consent from the Country Director(s) to travel to the Country Office(s).

I have received a safety and security briefing at orientation or individually and will take a copy
of the CI safety and security handbook with me on my journey.

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I have completed the RED form and sent it to the Country Office(s).

I formerly expressed that I have understood the risks associated to my mission and
performed an informed choice. I confirm that I shall comply with all safety and security
instructions during my assignment.

I am aware of health risks and have taken every precaution, according to my personal needs.

I will take with me on my travel the following documents in a sealed envelope:
- Copy of RED 
- Copy of Passport and Visa 
- Copy of Health and Accident Insurance 
- Personal Information on Medical Treatment, contact address of medical doctor 

Declaration:
I
(Name),
______________________________
travelling
to
(Country)
__________________________________
on
CARE
business
from
(Date)
__________________________
to (Date) ______________________________ confirm that I have
undertaken the safe international travel measures ticked above and having considered the risks
associated with my international travel (together with the advice received). I am satisfied that I can
conduct this visit safely. I will comply with all safety and security instructions during my visit.
Print Name: ___________________________
Destination:_______________
Contact
Phone
Signature:
_____________________________________
________________________________
No
at
Overseas
Date/Place:
Please return the completed form to your respective line manager.
Annex D: SAMPLE TEMPLATE - Country Office Briefing
Proposed content of CO Safety and Security Briefing
Upon arrival
·
·
·
·
Visa regulations
Airport
Embassy
Registration (if not done pre-departure)
Contacts (please state name, function and telephone number)
·
·
Country Director
Safety and Security Officer / Focal Point and other resource persons
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·
Emergency Services and facilities (Police, Fire Brigade, Ambulance, approved medical
doctors, NGOs…)
Necessary documents


IDs
Travel permit
Review of Safety and Security SOPs for Country Office (including differences in relevant
program areas)
·
·
·
·
Travel and movement procedures
Transport
 Transport Policies: Helmets & seatbelt
 Taxis (preferred companies, + number, special issues you must be aware of)
 Other means of transport (airport shuttle, train…)
 Driving rules
Map and orientations (no-go areas, location of CARE facilities)
Communication procedures
General Safety and Security Context for Location
·
·
Political situation and any political trends, issues or sensitivities
Current main threats
 Crime related insecurity
 Political or military related violence
 Environment related threats (except health)
 Local laws, customs, tradition and religious practices as they affect NGOs
Other Safety and Security Considerations
·
·
·
Possession and use of specific equipment (mobile phones, GPS, cameras)
Off-duty activities
Procedures, rules and advices for responding to these threats
Health
·
·
·
·
·
Insurance and Vaccinations
Food and Water
Special concerns (illnesses, e.g. malaria, dengue, avian influenza…)
HIV / AIDS
Hospital and pharmacies (attach list of hospitals and pharmacies with address and phone
number)
Money
·
·
Currency / denominations
Banks / Access to Cash e.g. ATMs
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Electricity
·
·
Type
Adapter
Communications
·
·
Telephone
Internet/email
Climate/Weather
Local Holidays
Phrasebook in local language
Visitor Checklist
·
·
·
·
·
·
·
·
Read CARE Safety and Security Handbook.
Background information on areas to be visited and verbal briefing in country upon arrival.
Immunisation.
Arrange for pick up at airport (ID of driver easily recognizable).
Ensure working communication device such as cell phone for the duration of visit.
 If needed, requesting cell phone and/or SIM card from CO if available.
Complete and submit RED prior or upon arrival to visiting country (e.g. in sealed
envelope).
Register with appropriate embassy.
Constant Companion card (listing emergency contact numbers) received and carried.
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Managing Staff Detention Abduction and
Similar Incidents
Approved October 2001***
*** This policy was previously included in the CI Code as Appendix 4. Section 7 Emergency
Response Coordination.
NB: The references to the CARE Safety and Security Handbook, approved by the CI Board in
June 2001 need to be updated to reference the CARE International Safety and Security
Handbook 2004. As such the referenced location of certain information may have changed in
the 2004 version of the handbook.
It is anticipated that this policy will be replaced in due course by an updated version.
Introduction
CARE often operates in violent environments where there exists the possibility of staff
abduction, arrest or other kinds of situation involving staff detention. This policy describes how
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CARE responds to such crises. Note that the policy refers to, and should be read in conjunction
with, the CARE Safety and Security Handbook, approved by the CI Board in June 2001 55.
Definitions
This policy recognises a range of situations that involve the detention or disappearance of staff.
They are defined as follows:
Detention
Staff members are kept under the control of an individual or a group. While there is no serious
threat to life, there is also no clear pre-condition for release. Although the people detained have
lost their freedom of movement, they are treated in a reasonable fashion.
Arrest
This term is used to describe detention by government authorities (normally the police, but also
an army) or “presumptive authorities”. What distinguishes it from detention is that we are
dealing with official authorities so that, in principle, the legal procedures can be initiated. The
situation can be more difficult and dangerous when the government authorities arrest someone
“extra-legally”, i.e., secretly.
They may deny the arrest and refuse to reveal the whereabouts of the detainee. Alternatively,
the CARE staff member may have been arrested by a secret police, possibly in unconstitutional
and/or illegal manner.
Abduction
Refers to the forcible capture and removal of a person in an illegal way but does not lead to a
demand. The motive for this type of abduction may vary from forced labour, sexual slavery or
political gain. In this last case, the victim may be tortured and murdered.
Kidnapping
A forced capture and detention with the explicit purpose of obtaining concessions from the
captive or others associated with him or her. In this case, the life and liberation of the
kidnapped person is dependent upon the fulfilment of certain conditions. The concessions
sought may be of a political nature, or an economic motivation as part of extortion tactic, or
simply for ransom. As several documented cases have shown, a detention or an arrest can
also become a kidnapping.
55
The references to the CARE Safety and Security Handbook, approved by the CI Board in June 2001 need to be
updated to reference the CARE International Safety and Security Handbook 2004. As such the referenced location of
certain information may have changed in the 2004 version of the handbook.
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Hostage-taking
Kidnapping and hostage-taking are often used interchangeably, but in this context the latter
term is used to describe a situation of siege. In such a situation, criminals and their hostages
have been located and surrounded by security forces; the criminals threaten the hostages as
part of a strategy to escape capture.
Reducing the Risk
It needs to be stressed that policies alone will not reduce risk to staff from abduction, arrest or
other kinds of detention. CARE staff can do much to reduce threats to themselves and their
families through simple, common-sense precautions.
In terms of risk reduction, chapters three and four of the CARE Security Handbook stress that
staff in the field need to take responsibility for their own safety, and provide useful guidance to
this end. It is clearly important that all CARE field staff read and understand this document.
They are responsible for making use of it.
Chapter Five of the CARE Security Handbook also covers very clearly how to cope with security
incidents. The recommended guidelines for dealing with such incidents will not be repeated in
this policy.
Reporting from the Field
The first step in reacting to staff detention or disappearance is the reporting of the incident by
the field office to its Lead Member 56. It is important that, when first reporting an incident, the
country office avoids definite categorisation of the incident, unless the details are absolutely
clear. “Misdiagnosis” in reporting runs the risk of a Lead Member (and subsequently other
Members or the Secretariat) reacting inappropriately or otherwise initiating an incorrect
response.
In general, as much detail as possible of the incident should be sought by the field office before
any report is made to the Lead Member. Of course, it may not be possible to gain a full picture
quickly – in some cases, this only emerges after days or weeks. The key to reporting, therefore,
is precision, in terms both of details that are available to the field office, and those that are not.
Adherence to a standardised format of reporting greatly diminishes the possibility of confusion.
The subject of reporting is covered in Chapter 4 and Appendix C of the CARE Safety and
56
Here, Lead Member is taken to include Lead Members, temporary presence Co-ordinating Members, or, in the
case of limited presence, Members on whose project the detained or missing staff person was working.
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Security Handbook, and Country Directors and other staff responsible for CARE’s
representation in the field are required to make use of these procedures.
The Initial Response – Who is Involved?
Detention, arrest, abduction, kidnapping and hostage-taking involve an individual being deprived
of freedom of movement, and being subject to anything from polite pressure to the threat or
even the use of violence. The nature and motivation of the captors will never be the same.
Therefore, crisis management strategies will never be the same for all situations.
Here, it is worth noting that when CARE staff are detained or disappear, the incident can cause a strong
reaction throughout the organisation. As well as feelings of anguish and apprehension, such events can
generate great solidarity and an intense desire to take action to resolve the situation. It must be borne in
mind, however, that the actions of one Member affect all Members, and reflect on CARE as a whole.
Members therefore need to guard against the possibility of unintended consequences arising from the
very focussed pursuit of solutions to the crisis.
That said, the early response and management of a staff detention/disappearance crisis demands a coordinated effort within and between all involved levels of the organisation. These are: the CARE field
office, the Member managing the field office (termed Lead Member in this paper), the Member employing
the detained or missing staff member (if different to the Lead Member), and the CI Secretariat.
The approach to the crisis – in the form of an initial crisis response strategy -- will be established
and agreed upon by the field office and its Lead Member within hours of an incident being
reported. It is the responsibility of the Lead Member to ensure that this happens. The Lead
Member is additionally responsible for promptly communicating its initial crisis response strategy
to the CI Secretariat, and, as needed, to the employee of the detained or missing staff person.
The CI Secretariat in turn is responsible for keeping both the wider membership and the CI
Board of Directors advised of developments.
The Secretariat has the additional role of representing CI Board and other Member concerns to
the Lead Member, where appropriate advising the Lead Member in its intervention, and coordinating support from within CI. The intention here, clearly, is to place the Lead Member in
the best possible position to shape its intervention in a manner that is sensitive to what is
prudent, likely to be effective in a specific context, and in the best interest of the victim and of
CARE as a whole.
During incidents of this kind, it is important to maintain clear and unambiguous lines of authority.
In cases of staff detention or disappearance, the Lead Member, through its field office, has line
authority in the management of the response, and should be able to seek support and
assistance from across CI in its pursuit of this responsibility. If the Lead Member is unable to
meet the demands of developing and managing the response to the crisis, or if the CI Board
believes this to be the case, the CI Secretariat shall assume this role.
It follows that in the absence of a Lead Member (as defined herein), or if the Lead Member is
otherwise incapacitated, the CI Secretariat shall assume full responsibility for the development
and management of the response to the crisis.
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Management of the Response
Managing a crisis response strategy is a dynamic process that can last from several hours to
several years. Success requires the closest of co-ordination between the field office and its
Lead Member, and between the Lead Member and the CI Secretariat.
The primary managers of the response are the Lead Member and field office Crisis Action
Teams (CATs). The formation of these two teams should be standard operating procedure, and
is described in the CI Staff Security Handbook. The composition of the Crisis Action Teams will
be determined by prevailing circumstances, but as a rule include neither the National Director
nor the Country Director (see below).
The Lead Member Crisis Action Team has authority over the field office Crisis Action Team in
response management, and the field office team should not take decisions or initiatives without
the approval of the Lead Member team.
Note, however, that while the Lead Member Crisis
Action Team will have overall authority to co-ordinate response activities, key decisions must
always rest ultimately with the National Director in close consultation with the Country Director
(or field representative).
It is important that the authority of the Lead Member team be emphasised. In general, it is
easier for headquarters to maintain a strategic perspective in relation to a given situation, and to
provide decision making that is informed by a wider set of information than is available to the
field office. However, it is also true that the withdrawal of authority from the field creates an
obligatory time lag between requests from the captors/detaining authorities and CARE’s
response – a vital interval for reflection.
Crisis management is initially a full-time job. Staff assigned to crisis action teams should be
released from other responsibilities and shielded from unnecessary intrusion to concentrate on
the immediate task. The Crisis Action Teams (CATs) should be assigned their own working
space and facilities. The CATs’ responsibility is to monitor the evolving situation, to inform
decision makers, and to act on their instruction. Within this broad responsibility, they review
policy with regard to the captors/arresting authorities, the family, authorities, media, and other
agencies. CATs serve as the co-ordinating link with government agencies when they are
involved. CATs will recommend response mechanisms to the Country Director and National
Director of the Lead Member.
Negotiation and the Use of Outside Experts
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This policy does not seek to govern Lead Member and field office communications or
negotiations with those responsible for the detention or disappearance of a member of staff.
Negotiation is a specialised field, of course, and the process of communication will often require
access to specialised legal or other knowledge. CARE does not have this kind of in-house
expertise and does not promote a “do-it-yourself” approach. Therefore, in general, expert
assistance with communication and negotiation should be sought by Members responding to
these kinds of situation.
Outside “experts” play a valuable role in offering an objective perspective on analysis and crisis
management. Their use early in the crisis is strongly recommended. Properly managed, outside
experts will anticipate scenarios, ensure preparedness, and will assist in confirming that what is
done is done well and defining that the “ups and downs” associated with negotiations is normal
and expected.
Outside experts must be made aware of the highly sensitive nature of the CARE environment.
If not, they may become a problem if allowed to pursue their own agenda. The Secretariat
should maintain a list of reputable individuals with a proven record for referral to the Members.
Leadership and Negotiation
While a good leader will want to respond immediately to the detention or disappearance of a
staff member, best practice dictates that this is the least recommended option. More than any
other crisis, the detention and/or disappearance of staff requires special expertise.
Although a Country Director or a National Director will want to engage in the crisis, they should
delegate co-ordinating authority to their Crisis Action Team Leaders. Of course, ultimate
decision-making authority is retained by the Country and National Directors – the point is, that
there is a “space” maintained between this authority and the operational implementation by the
CATs of the crisis response strategy.
To support this view, experience shows that direct negotiations with those who have detained a
staff member should never involve anyone with authority to make decisions about the crisis.
The objective pursued with captors must focus on negotiating a resolution – not a settlement..
Best practice emphasises that one should not make promises in order to obtain a quick release.
Instead, the negotiator must be clear that he or she is taking note of the captors’ requests and
will forward them to appropriate authorities. The negotiator must emphasise that he or she is
not in a position to make final decisions or firm commitments, and that the negotiator has no
decision-making authority and must communicate with CARE’s leadership. This is the only
security that the negotiator has in this type of situation. The captor has to realise that if the
negotiator is frustrated, harmed or detained, his or her demands will not be conveyed. When
negotiating for the release of someone who has been arrested, an expert with legal training is
the best choice of representative.
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The Family of the Detained or Missing Staff Member
Once the incident has been reported by the field office, immediate contact should be made by
the Lead Member with the involved staff members’ family. The family should be kept informed
and if appropriate be part of the development of the crisis response strategy. Clearly, it is vital
that the family is informed of the incident by CARE, and not through the press or a third party.
A recommended course of action is to identify a professional counsellor who will be able to work
closely with CARE and the family of the staff member. In addition, a senior Lead Member staff
member (or staff member of the employing CI Member) with noted interpersonal skills should be
designated as the main point of contact for the family with CARE.
Interacting with the Media
Management of media relations can be a crucial aspect of the crisis response strategy and
should be given serious attention. The Lead Member is responsible for developing an effective
media and communications strategy. This should be done in close consultation with the
Secretariat and should draw on experience, resources and networks elsewhere in CI. Strategy
implementation should be led by the Lead Member communications team (perhaps as part of
the CAT), and strongly co-ordinated through the Secretariat with the rest of the Membership.
The following guidelines are relevant in co-ordinating information with the news media:
•
•
•
•
•
•
Attempts to exclude the press in the beginning as publicity will complicate negotiations.
National and international media should be requested not to report the story, or provide
details, if it is felt that this could put staff at additional risk. The news media is generally
accommodating in the early stages of a crisis.
Seek publicity only when high-profile publicity will help influence the persons responsible
for the act in a favourable way.
Limit public statements to basic, minimal facts.
Do not communicate or negotiate with the persons responsible for the crisis through the
public media.
Engage constructively with editors and journalists so that they work with in CARE’s
favour, rather than against.
Preparation and Training
The foregoing has implications for CARE International and its membership in terms of ensuring
adequate capacity to act effectively in the event of staff detention or abduction.
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With the approval of this policy, Members responsible for the management of field offices should
ensure that they possess this capacity. This should be achieved through an assessment of
existing capacities and procedures, and the preparation of an in-house contingency plan,
complete with operating procedures.
Where required, training should be provided by the Member to key headquarters and field staff
to ensure that the capacity exists to act on the contingency plan.
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Section 14 - CI
Internal Agreements
Approved June 2011
Page 278
CI Inter-Member Memorandum of Understanding Template
THIS MEMORANDUM OF UNDERSTANDING (MOU) is made the .......... day of .......... 20...
between CARE (Member) (herein called ...............) whose registered office is at:
...................................................................................................................................
of the one part and CARE (Member) (herein called ...............) whose registered office is
at: ...............................................................................................................................................
of the other part.
WHEREAS CARE (Member) and CARE (Member) are bound by the decisions of the CARE
International Board of Directors and the CI Code and reaffirm that their intended cooperation will
be conducted within the agreed to policies and procedures of CARE International;
WHEREAS CARE (Member) conducts assistance projects in countries through operations
managed by Country Directors employed directly by CARE (Member);
WHEREAS the parties wish to cooperate and maximise their resources for the benefit of those
they seek to serve, and to reduce global poverty, CARE (Member) wishes to engage with and
entrust funds to CARE (Member) for the implementation of programs under which joint control
and obligations outcomes will be assumed and which will be consistent with the CARE
International Code.
THE following terms and conditions shall apply to all funds and other resources received from
CARE (Member) which are applied to projects or received by CARE (Member) or its
country operations in respect to which a specific project proposal shall be endorsed and
signed by the Country Director on behalf of CARE (Member) and the National Director on
behalf of CARE (Member):
a)
b)
c)
The following obligations and undertakings shall apply to each member in this agreement:
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a) CARE (Member) shall undertake the following:
i.
ii.
iii.
iv.
b) CARE (Member) shall undertake the following:
i.
ii.
iii.
iv.
Agreement Review. This agreement will remain in place for a period of one year, before which
time activities, performance and/or satisfaction will be reviewed by both parties and an
extension considered equally by both parties accordingly.
Dispute Resolution. A party who claims that a dispute has arisen as to the construction of this
agreement or any matter or thing arising under or in connection with it may give written
notice to the other party identifying the nature of the dispute and nominating a
representative who has authority to resolve the dispute.
If within 21 days of receipt of such notice the dispute is not resolved then either party may
refer the dispute to the Secretary General of CARE International for mediation by the
Secretary General or his/her nominee through the CI established Conflict Resolution
Process.
Termination. This Agreement may be terminated at any time by either party giving three
months’ notice in writing to the other party but shall continue thereafter until the conclusion
of all projects to which it relates.
Entire Agreement and Amendment. This MOU contains the entire agreement of the parties
related to the subject matter hereof, and no representation, inducements, promises or
agreements, oral or otherwise, between the parties not included herein shall be of any
force or effect. Any modification of this MOU shall be in writing and signed by duly
authorized representatives of each party. If any provision of this agreement shall be held
invalid, illegal or unenforceable, then the validity, legality and enforceability of the remaining
provisions of this agreement will not in any respect be affected or impaired thereby.
AS WITNESS the hands of duly authorised officers the day and year first above written.
SIGNED by: __________________________
Name
______________________________________________
Position
for and on behalf of:.........................................................................................................................................................
..... in the
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presence of:SIGNED by: __________________________
Name
______________________________________________
Position
for and on behalf of:.........................................................................................................................................................
..... in the
presence of:-
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Individual Project Implementation
Agreement
Approved June 2011
Updated January 2013
Page 282
Individual Project Implementation Agreement [IPIA]
1. Uses of this Template. This template is for use by CARE Member Partners (CMPs) when
preparing an IPIA to implement a project or program at country offices managed by other
CMPs across CARE International. A form of this template may also be used to document
project-level implementation arrangements between CMPs, including Developing Country
Members and Affiliate Members of CI (e.g. Raks Thai, CARE Brasil, CARE India, CARE
Peru, etc.). This form may also be used in short-term emergency projects, with various
reporting deadlines and other terms modified accordingly.
2. Template Text. This template contains mandatory headings to ensure consistency of form,
and suggested text for use under each heading. CMPs should use the same headings and
strongly consider the text under each heading, but each CMP may vary the text (e.g.
reporting requirements, payment processes, deadlines, defined terms, procedural
particularities, etc) so long as the text is generally consistent with the CI Code, and
negotiated and agreed upon between the parties. The form also may not be comprehensive
of all projects and donors; for example, in the event of a multi-year project funded in
instalments or the project’s funding being conditional (not fully funded), the parties may need
to consider language that will address the donor commitment of funds, and how and when
payments will be made. Finally, it is generally expected that the base template will contain
essential business terms between the parties, with the attachments providing donor-specific
requirements.
3. Completion of this Template. This template is required to be initially prepared by the CMP
for presentation and negotiation with the Lead Member and Country Office, with preparation
occurring within seven (7) business days of confirmation of receipt of donor funding from the
donor, and finalization within seven (7) business days of signature of the donor
agreement/contract. The template contains a number of blank fields which will require the
appropriate staff to complete in each instance.
4. Attachments. In order to ensure full compliance and transparency with project/program
expectations and donor requirements, it is generally required that the actual contract or grant
agreement from the donor, including project/program description and budget (the
project/program proposal and budget narrative submitted to the donor, as applicable), be
attached to the IPIA in full. If applicable, CMPs are encouraged to attach any template
reporting forms that are expected to be used by the implementing party.
5. Amendments/Modifications. Almost all IPIAs will need to formally modified at some point
during their term. This template allows for two practices depending on the preferences of the
CMP/Country Office. The IPIA may be modified by re-issuing the entirety of the IPIA with the
desired changes, replacing entirely the prior version. Alternatively, the IPIA may be modified
by separate writing specifically indicating the desired change; in this case, each amendment
should be numbered sequentially. The beginning of the template IPIA provides a location for
clarifying which method will be used.
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INDIVIDUAL PROJECT/PROGRAM IMPLEMENTATION AGREEMENT
BETWEEN
CARE _______
(“CARE Member Partner” or “CMP”)
AND
CARE _______ in _______
(“Country Office”)
Under __________
(“Lead Member”)
Pursuant to funding received by CMP from ___________________ (“Donor”), this Individual
Project/Program Implementation Agreement (“IPIA), as may be amended, together with its attachments
incorporated by reference, is governed by the CARE International Code (“CI Code”).
This IPIA will be modified by either of the following ways (choose one):
By revision/reissuance of this IPIA in its entirety
By separate written amendment in which case each required modification will be numbered
sequentially.
I. Summary Information
A. Donor
B. Donor Contract/Grant Number
C. Project/Program Number/Fund Code
D. Program Name (state the program to
which this project contributes or if this is
funding a complete program, please
state the name)
E. Project Name
E. Project/Program Start and End Date
F. Total Contract/Grant Amount
G. Current Obligated/Committed
Amount
H. Current Funding Period (if limited)
I. Current CMP Budget Share, (including
any direct costs)
J. Current Country Office Budget Share
K. Indirect Cost
Recovery/NICRA/Administrative
Retention (if any)
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L. Shared Project Costs
(amount/percentage, responsible
party/budget)
M. Match/Cost Share (total)
a. Country Office Contribution, if any
(and type)
b. Lead Member Contribution, if any
(and type)
c. CMP Contribution, if any (and type)
N. Does the CI Document Security Policy
apply?
N. Other (if any):___________________
Yes/No
II. Project/Program Summary
CMP hereby provides funding to Country Office for the activities, budget and deliverables (the
“Project”) described in the proposal submitted to the Donor and the agreement (the “Donor
Agreement”) signed by the CMP with the Donor, as may be modified from time to time, which is
attached hereto as Attachment A, and for no other purpose. The parties agree to comply with
the terms hereof and the Donor Requirements found at Attachment B. The activities of the
Project/Program generally include the following:
. and the project is understood to be
contributing to results in line with (the program).
III. Payment
A. Advance Payment
Payments under this IPIA shall be made from CMP to Country Office on an advance basis in
_________ [INSERT CURRENCY] consistent with the activities and detailed budget attached at
Attachment C.
B. Payment Schedule
(1) CMP agrees to provide Country Office with an initial advance to cover ____ days operating
expenses and thereafter advances limited to the minimum amounts necessary to meet thencurrent disbursement needs, such advances to be no more frequently than monthly. A
Project Number and Fund Code are required prior to the first cash transfer. Payments will
be made in ________ [insert currency here], and Country Office agrees to confirm receipt.
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(2) CMP payments to Country Office are contingent upon (i) satisfactory progress of the
Project/Program by the Country Office, (ii) timely submission of narrative and financial
reports pursuant to Article IV of this IPIA, and (iii) compliance with the terms and conditions
of this IPIA and applicable laws and regulations.
[IF MONTHLY OR QUARTERLY PAYMENTS, USE A FORM OF THE BELOW]
(3) Subject to the contingencies listed in (2) above, cash transfers will be based on the timely,
true and accurate submission of ________________ by _____ of every __________ [insert
reporting requirement and due date], and expenditures shall subsequently be documented
in the __________________ [insert any subsequent reporting requirement]. Such forms
shall be submitted to _____________________ [insert name, title and email address]. CMP
agrees to release each periodic advance within __________ (__) days [insert preferred
processing time here] after receipt, less any unspent balance from previous advances.
OR
[IF PAYMENTS ARE BASED ON FIRMS DATES OR DELIVERABLES, ETC., USE A FORM
OF THE BELOW]
(3) Subject to the contingencies listed in (2) above, payments from CMP to the Country Office
are scheduled as follows:
Payment Amounts and Dates
Date/Event/Milestone Currency Amount Requirements/Remarks
C. Bank Account
Payments under this IPIA shall be made to the following account:
Bank Name
Bank Address
Account Number
SWIFT Code
Currency of
Account
D. Exchange Rates
CMP, Lead Member and Country Office agree to actively manage any exchange rate risk prior
to and during this IPIA pursuant to Section 5.II.D.3.f of the CI Code. Notwithstanding the
foregoing, in circumstances such as a loss of value of the Donor currency, the amount
Page 286
committed by CMP shall not change regardless of exchange rate fluctuations, except by written
agreement by an authorized representative of the CMP. It is understood that this may result in
changes in activities or milestones of the project as agreed between CMP, Country Office, and,
if necessary, Donor.
E. Bank Charges
Bank charges for fund transfers will be borne by the sender pursuant to Section 5.II.D.3.d
of the CI Code.
IV. Project/Program Reporting
Country Office agrees to fully and timely comply with the project/programmatic and financial
reporting requirements set forth in the Donor Agreement , and with any other report that may be
required by Donor or reasonably required by CMP during implementation of the
Project/Program. A summary of narrative and financial reports, work plan/budget submissions,
if any, and final reports is attached at Attachment D. In the event the Donor requires
submission of any report directly by Country Office, or communicates directly with Country
Office about material issues relating to implementation of the Project/Program, Country Office
and CMP will work collaboratively to provide a responsive submission. CMP shall timely
provide feedback on any report to the Country Office prior to submission to the Donor.
A. Narrative Reports
(1) Language for
Reports
(2) Content and
Frequency of Narrative
Project/Program
Reports
(3) Special Narrative
Reports
(4) Other Required
Narrative Reports
(5) Other Reports as
Reasonably Requested
[Insert language of the Donor]
The CO will prepare narrative and project/programmatic reports in
sufficient detail to comply with the Donor Agreement ______ on
____________, which is _____ days prior to the report due date to
the Donor.
Country Office must notify CMP promptly of developments that may
significantly impact the activities of the Project/Program, including a
statement of the action taken or contemplated, and any assistance
needed to resolve the situation
[Insert any other CMP-required narrative reporting requirements
here.]
Country Office will timely submit any additional narrative or
programmatic reports as may be reasonably requested by the CMP
and the Donor.
B. Financial Reports
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(1) Content and
Frequency of Financial
Reports
Financial reports in sufficient detail to comply with the Donor
Agreement at least __________ (__) days prior to the report due date
to the Donor.
(2) Other Required
Financial Reports
(3) Other Reports as
Reasonably Requested
(4) Method of Currency
Conversion
[Insert any other CMP-required financial reporting requirements here,
including such things as interest on bank accounts, etc.]
Country Office will timely submit any additional financial reports as
may be reasonably requested by the CMP and the Donor.
[Insert Donor requirement, if any, or other provision providing clarity.
If current country office policy is acceptable, insert appropriate
language.]
[Insert any Donor transfer/line item limitations here]
(5) Budget Line Item
Transfer Restrictions/
Donor Line Item
Flexibility Limits
(6) Currency Used for
Financial Reporting
(7) Interest
________________ [insert current requirement here]
[Insert Donor requirement, if any]
C. Work Plans and Budgets
If required by the Program/Project and/or the Donor, the parties shall work together to timely
submit any required work plans and related budgets to the Donor in a form required by Donor,
as follows:
Description of Required Submission (if any)
Due Date to Donor
In the event of a need for revised work plans and/or budgets, the CMP and CO will work
together to ensure a timely submission pursuant to Donor requirements, if any.
D. Final Reports/Project Conclusion
CMP and Country Office will work together to ensure a timely and efficient close-out of the
project/program pursuant to applicable Donor regulations and reasonable requirements of CMP.
Any costs relating to close-out activities taking place after the term of this IPIA shall be born by
the Country Office, except by written agreement by an authorized representative of the CMP.
(1) Content Final
Narrative Reports
(2) Content of Final
Financial Reports
(3) Other:
[Insert any Donor or CMP final narrative report requirements here]
[Insert any Donor or CMP final financial report requirements here]
[Insert any other final report requirements here.]
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____________
V. Procurement, Asset Management, and Disposal of Assets
(1) Any Donor specific requirements relating to procurement, asset management and disposal
of project assets will be contained in Attachments A and B, and will take preference over
other terms in this section.
(2) Country Office shall maintain a policy that provides for a high level of integrity and
avoidance of conflicts of interest in the procurement process. Procurement transactions
shall be conducted in a manner to provide, to the maximum extent practical, open and free
competition. Contracts shall be awarded only to those bids that are responsive to the
solicitation and are most advantageous considering price, quality, and other factors deemed
appropriate by the CO, and should be made only with responsible parties who possess the
potential ability to perform successfully under the terms and conditions of the proposed
procurement.
(3) Country Office should maintain an inventory of equipment and supplies purchased under
this Agreement, provide reasonable maintenance, insurance, and care, and ensure their use
for the benefit of the Project. Refer to Attachments A and B for any applicable threshold of
application.
(4) Unless stated specifically in Attachments A and B, Country Office may not dispose of any
equipment or supplies without prior written approval of an authorized representative of CMP.
VI. Schedule of Evaluations
CMP and Country Office will work together to conclude the terms of reference of any written
evaluation of the Program/Project pursuant to the below estimated schedule. Country Office will
receive as much notice as possible for any other evaluations that may be scheduled. The CMP
will submit any terms of reference to the Donor for approval, if required, and representatives of
the Donor may be invited to participate in the evaluation. The cost of evaluations will be
covered by the Program/Project unless agreed upon in writing in advance. Both CMP and
Country Office will be provided a copy of any evaluation of the Program/Project.
Date of
Evaluation
Type of
Evaluation
Date to
Conclude
TOR
Other
VII. Monitoring and Capacity Building
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i.
Monitoring visit(s) addressing the priorities of CMP and/or the Donor may be undertaken by
CMP staff or designates of the CMP. Monitoring may include visits to in-country
Program/Project partners. CMP agrees to develop a brief terms of reference for any visit for
input from the CO , and provide adequate advance notice of any monitoring visits, preferably
at least 30 days. Country Office agrees to cooperate with any such visit. Monitoring visits
should conclude with either a verbal or written final report as soon as practical after the
conclusion of a monitoring visit. Costs of any monitoring visits, activities or reports will be as
provided in the approved budget for the Program/Project. If Program/Project funding is not
available, the cost will be borne by the CMP. Consistent with Section II.C.3.d of the CI
Code, and as may be specifically set forth in Attachment B, CMP agrees to provide Country
Office with information necessary to comply with the terms and conditions of this IPIA.
ii.
Any sub-grants to partner organizations will be effectively monitored by Country Office to
ensure that activities are consistent with the sub-grant and in accordance with applicable
laws and regulations, including capacity building of partner organizations. Such monitoring
may include site visits, periodic reviews, audits, and other monitoring activities or
requirements. Country Office agrees to implement any supplemental monitoring activities
that may be reasonably requested and budgeted by CMP or required by the Donor. Any
sub-grants/contracts made with partner organizations will be made available to CMP upon
request.
VIII. Audit/Record Retention
During the term of this IPIA and for _______ [insert appropriate requirement] years thereafter,
and with as much notice as practical, the Donor, CMP and/or its agents, during normal business
hours, will have full and free access to inspect, audit and make extracts of such books and
records. CMP shall advise Country Office as soon as practicable, preferably at least 30 days
advance notice, of any anticipated audit of the Country Office, and Country Office agrees to
cooperate with any such audit. As specific in Attachment B, CMP may require Country Office
to have performed an external audit required to be timely submitted to the CMP. The costs of
any audit shall be borne by _________________ [insert the Project, the CMP if not part of the
budget of the Project, etc.], or as may be otherwise agreed by the parties.
Records and supporting documentation relating to the Program/Project shall be maintained for a
period of _________ years after the submission of the final reports required by this IPIA, the
cost of which shall be born by the Country Office except by written agreement by an authorized
representative of the CMP. Destruction of records may occur only when the Country Office is
advised by CMP that there is no reason for such records to be maintained due to audit, legal, or
other reasons.
IX. Visibility
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As set forth specifically in Attachment A or B, Country Office will comply with any
requirements, processes and/or procedures for the public recognition of the Donor under this
IPIA.
X. Termination and Suspension
1) Country Office understands that the Donor Agreement is subject to certain termination
and/or suspension rights of the Donor. Any termination or suspension by the Donor shall be
applied to this IPIA.
2) CMP may terminate or suspend this IPIA if Country Office materially fails to comply with this
IPIA, provided that Country Office is given ninety (90) days [or such shorter period as the
Donor may require] prior notice of the effective date of the termination or suspension, during
such time Country Office will be given reasonable opportunity to remedy/cure the default in
CMP’s reasonable discretion.
3) Only if exceptional circumstances warrant, and after consideration of reputational risk,
Country Office may terminate this IPIA upon providing ninety (90) days’ prior written notice
to CMP.
4) The parties may mutually agree in writing to terminate this IPIA for any reason.
5) Upon receipt of and in accordance with any termination or suspension notice from the Donor
or CMP, Country Office agrees to take immediate action to minimize expenditures and
obligations funded by this IPIA and cancel such obligations whenever possible. The costs of
winding down the Program/Project shall be in accordance with the requirements of the
Donor Agreement and the Donor. Within ninety (90) days after the effective date of
termination, or as the Donor may otherwise require, Country Office agrees to repay to the
Donor (through CMP) unexpended funds that are not otherwise obligated by a legally
binding commitment. Additionally, the CI Member shall (if applicable) reimburse the Country
Office for all funds or assets spent or committed (contractually or otherwise) in accordance
with the terms of this Agreement, the Funding Contract and applicable Donor
regulations. This payment shall be made within ninety (90) days after the effective date of
termination. Regardless of the circumstance, the parties agree to ensure an orderly closeout process of this IPIA.
XI. Additional Remarks
1) Contacts. Unless written notice is otherwise given, the following individuals may be
contacted with any questions regarding this IPIA:
a. For Country Office:
b. For Lead Member:
c. For CMP, if applicable:
d. For CI, if applicable:
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2) Disallowed Costs. To be handled pursuant to Section 5.II.D.3.i of the CI Code, or as
otherwise may be agreed in writing by authorized representatives of the parties.
3) Disputes. Disputes regarding this IPIA shall be handled pursuant to Section 5.II.E.9
of the CI Code, or as otherwise may be agreed in writing by authorized
representatives of the parties.
4) Work under this IPIA. Country Office work created pursuant to this IPIA is original work,
or if not, any third party rights in any work must be secured prior to use in the
Program/Project. The ownership of any intellectual property from the activities under
this IPIA will be subject to any requirements of Donor. The parties to this IPIA may also
separately agree on any ownership and rights to any work by written agreement
between authorized representatives of the parties to this IPIA.
5) Sub-granting/Subcontracting. Except as set forth in the proposal and Donor
Agreement, Country Office shall not subgrant or subcontract any portion of its
performance hereunder without the prior written consent of the CMP and, if
applicable, the Donor.
6) Compliance Applicable Laws. Each party shall comply with laws and regulations
applicable to this IPIA. Each party hereby certifies that it has not knowingly provided
and will not knowingly provide, in violation of applicable laws, material support or
resources to any individual or organization that advocates, plans, sponsors, engages
in, or has engaged in an act of terrorism. The Country Office is responsible for
complying with all applicable laws and regulations, established financial policies and
procedures, and maintaining appropriate internal controls.
7) Force Majeure. Unless otherwise required by the Donor, neither party shall be
responsible for performance delays, acts or omissions (other than relating to
payment) resulting from events beyond its reasonable control (each a “Force
Majeure Event”), including Acts of Nature, civil unrest, government action, power or
utility failures, strikes or other labour disturbances. The affected party shall provide
the other prompt notice of the Force Majeure Event, and keep the other party
advised during the duration of the Force Majeure Event. In the event the Force
Majeure event lasts beyond sixty (60) days, the parties will reach a mutually
agreeable solution.
8) Relationship of the Parties. The CMP and Lead Member/Country Office are
independent contractors with respect to each other, and: (a) neither party is an agent
of the other, or has authority to enter into any contract or undertaking in the name or
account of the other party, express or implied, except as specifically set forth herein;
and (b) nothing in this IPIA shall be construed to create an employer/employee
relationship, partnership or joint venture between the parties, or between a party and
any employee of the other party.
9) Order to Applicability. In the event of a conflict between the terms of this IPIA and
the Donor Agreement, the terms of the Donor Agreement control.
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10) Entire Agreement and Amendment. This IPIA contains the entire agreement of the
parties related to the subject matter hereof, and no representation, promises or
agreements, oral or otherwise, not included in this IPIA shall be binding. Any
modification of this IPIA shall be in writing and signed by duly authorized
representatives of each party. If any provision of this agreement shall be held invalid,
illegal or unenforceable, then the validity and enforceability of the remaining provisions
will not in any respect be impaired.
XII. Signatures
The below parties, by signing, attest to their authority to do so on behalf of Country Office, Lead
Member and CMP, as applicable, and that no further parties are required to sign in order for this
agreement to be in full force and effect.
A. For the Country Office:
Name:
Position:
Date
B. For the CARE Member Partner:
Name:
Position:
Date
C. For Lead Member (if applicable):
Name:
Position:
Date
D. For CARE International (if applicable):
Name:
Position:
Date
Attachments:
Page 293
 Attachment A: Donor Agreement
 Attachment B: Donor Requirements
 Attachment C: Detailed Program/Project Description and Budget [to be used if there are
more detailed versions than those found in Attachment A, or if further detail is required]
 Attachment D: Narrative and Financial Report Summary
Page 294
Attachment A: Donor Agreement
Page 295
Attachment B: Donor Requirements
Page 296
Attachment C: Detailed Project/Program Description and Budget
[for use when certain work is sub-granted and not all the
Work described in the Donor Agreement in Attachment A]
Page 297
Attachment D: Narrative and Financial, Work Plan and Final Report
Summary
[Optional]
Type
of report
Date to be
received by
CMP
Narrative
Financial
Period Covered
Page 298
Pre-Individual Project Implementation
Agreement
Approved June 2011
Page 299
Pre Individual Project Implementation Agreement [Pre-IPIA]
6. Uses of this Template. This template is for use by CARE Member Partners (CMPs) when
preparing a funding proposal for a project/program to be implemented by a Country Offices
or other CI implementing entity (e.g. CI Secretariat, Developing Country Members, Affiliate
members of CI, etc). The purpose of the Pre-IPIA is to agree key business terms to be
included in a funding agreement between the CMP and the CO or other CI entity prior to
proposal submission, and to agree on roles, responsibilities, budgets, and deadlines for
proposal development. Use of the pre-IPIA is mandatory if either party requests it and is
strongly recommended for all funding agreements over $50,000. There may be short term
emergency circumstances when timing of proposal submission and funding is such that it
would be more efficient to develop an IPIA directly.
7. Template Text. This template contains mandatory headings to ensure consistency of form,
and suggested text for use under each heading. CMPs should use the same headings and
strongly consider the text under each heading, but each CMP may vary the text (e.g.
program development role, responsibilities, and deadlines, key personnel, partnership costs,
etc) so long as the text is consistent with the CI Code, and negotiated and agreed upon
between the parties. The terms outlines in the pre-IPIA Template text are subject to final
donor approval of the proposal and are superseded by the terms and conditions of the
related IPIA. Approval and Signature of the Pre-IPIA indicates the agreement of both parties
to work together on proposal development.
The template is divided into 7 main sections and some information is optional depending on
the nature of the proposal:
a. Description of Project (required)
b. Scope of Work
i. Program Sector/Thematic Area (Required)
ii. (Location (Required),
iii. Key personnel, (If required for proposal)
iv. Key roles, responsibilities and deadlines (Required) This section may be included as a
proposal workplan Attachment and should include key deadlines such as due date for
submitting draft budgets from CO/CMP, due dates for draft narrative, due date for final
draft submission to CMP to prepare submission, due dates for partner budgets and
narrative inputs, due date submission to donor, etc )
v. Partners (If required for proposal)
vi. Budget totals (Required)
c.
Match/ Cost share (Required) This section should indicate value and type of
match/cost share required, and which party will be contributing the match/cost share.
d. Indirect Costs and Shared Costs (This should indicate the confirmation that fair share
of Shared Costs are included in budget and any additional explanations and any donor
conditions on shared costs)
e. Budget lines to be included for CMP direct costs (If required for proposal)
f.
Program Development Responsibilities and Budget (Required)
g. Communications/contact persons (Required)
h. Authorizations (Required)
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8. Completion of this Template. This template is required to be initially prepared by the CMP for
presentation and negotiation with the Lead Member and Country Office. The template
contains a number of blank fields which will require the appropriate staff to complete in each
instance.
9. Amendments/Modifications. The Pre-IPIA may be modified by re-issuing the entirety of the
Pre- IPIA with the desired changes, replacing entirely the prior version.
This document serves to specify agreements made between CARE Member Partners (CMP) and Country Office/Lead Member (or other CI entity
e.g. DCM, AM, CI Secretariat) during proposal development. This agreement is strongly recommended for funding agreements over $ 50,000,
except in emergency circumstances when timing of proposal submission and funding is such that it would be more efficient to develop an IPIA
directly. It should be signed by both the CO representative (and LM representatives, as required) and the appropriate CMP representative(s)
before submission of the proposal. A faxed or scanned copy is sufficient. The terms of this pre-IPIA, including budget information, match/cost
share contribution and ICR are subject to the approval of the donor(s), and the signature of a grant/contract with the donor(s).
THIS AGREEMENT IS VALID FOR A PERIOD OF
MONTHS STARTING FROM
DESCRIPTION OF PROJECT (required)
Name of project
Project Code (CI Program
Directory)
Country and Region
Proposal Submission Date
Donor Name
Duration of funding
Expected start date
Contract currency
SCOPE OF WORK (required)
Program Sector/Thematic Area:
Geographic area (location where
program activities will take place:
Key personnel to be included in
proposal (if applicable per donor
proposal guidelines, identify key
positions/ level of effort;
responsibility for recruitment ,
other salary or nationality
i
t)
Key roles/responsibilities
and
deadlines:(describe key proposal
development roles,
responsibilities, deadlines, or
attach matrix/timeline):
PARTNERS (If required for
proposal)
Partner/Sub recipient 1:
a) name:
(high/medium/low)
b) budget:
c)due diligence/risk level
Page 301
a) name:
(high/medium/low)
a) name:
(high/medium/low)
b) budget:
b) budget:
TOTAL ESTIMATED BUDGET
Donor 1: Total requested
MATCH/COST SHARE CONTRIBUTION (required)
Match to be contributed by CARE_____ (Fill in name of member
and form of match/cost share (private funding, in-kind, etc.)
Match to be contributed by CO/LM, including partner match
(and form of match cost share (other funding, in-kind, partner
Total match required
INDIRECT COST RECOVERY and SHARE COSTS (required)
ICR - CARE _____
being
% of the total
budget
Yes/No
(If not: explain)
Other indirect recoveries (e.g. fees)
Estimated Shared Costs (included in budget as fair share)
OTHER BUDGET LINES ALLOCATED TO CMP (optional)
 Monitoring costs (travel, per diem, fees)
Budget Line /Account
Max. amount
 Bank charges
Max. amount
 TA ...
Max. amount
 Audit
Max. amount
 Other
Max. amount
 Other
Max. amount
Program
Development
The CMP, CO and Partners/Sub recipients (as appropriate) will prepare and submit the proposal to the donor. The CMP shall bear
responsibility for final preparation, reproduction and delivery of the proposal, and shall bear costs associated with proposal development
subject to negotiation between CMP and CO/LM. The other parties shall have the responsibility for preparing proposals and in particular those
sections dealing with the sub recipients, corporate capabilities, business management information and personnel, B) draft portions of the
technical approach according to an outlines and framework provided by the CMP.
The CMP and CO will recognize and identify the Partners/Sub recipients in the proposal and use it best efforts to secure donor approval (if
required) for the their work required by the agreement. The CMP will keep the Partners/Sub recipients fully advised of any changes in the
technical scope of work and provide opportunities to review any submissions that affect the Partners/Sub recipients areas of responsibility or
budget.
Estimated Total Program Development Costs:_______________
Agreed Program Development budget provided by CMP___________ By CO/LM____________
The terms of this pre-IPIA will be incorporated into the IPIA upon signature of a grant/contract with donor(s). This pre-IPIA will terminate upon
the signature of an IPIA, or a decision by the donor(s) to not fund the project. This pre-IPIA contains the entire agreement between the parties.
Page 302
DISCLOSURE AND CONFIDENTIALITY: A party may receive confidential information (as defined below) of the other party in connection with the
performance of this Agreement. Neither party shall disclose any such confidential information to any person or other third-party or make use of
such confidential information for its own purposes at any time without the owner's prior written consent; provided, however, that confidential
information may be disclosed to government authorities if the disclosure is required by law and the disclosing party has provided the owner
notice and if practicable a reasonable opportunity to defend against such disclosure. Confidential information shall mean any information
(written, oral or observed) relating to: (a) the terms of this Agreement, the conceptual and technical approach being contemplated by Recipient
under this Agreement, work plans and personnel, (b) donors or potential donors; (c) beneficiaries; (d) employees; (e) business or strategic
plans; (f) finances; or (g) a relationship with any governmental entity; it shall also include information specifically designated confidential by
the owner or that the disclosing party knows or reasonably should know is not generally known to the public. Notwithstanding the forgoing,
confidential information shall not include any information that is generally known to the public or readily ascertainable from publicly available
sources. Each party shall take steps necessary to assure that its employees comply with its obligations hereunder.
COMMUNICATIONS: Each party shall appoint a
technical and administrative contact person for
proposal development:
CARE Member:
Technical/Program:_____________________
Administrative/Finance: _________________
Country Office:
Technical/Program_____________________
Administrative/Finance__________________
Lead Member: (optional)
Technical/Program_____________________
Administrative/Finance:
AUTHORIZATION party to
Authorized by:
Signature, Name and Title
Date:
CMP
CD or designated CARE officer who has been
authorized to sign for pre-IPIA , please fill in
name, position, signature
Authorized Lead Member signature (as
applicable)
Date:
Date:
Page 303
Section 15 – Commercial Contracting
Section 15 Commercial
Contracting
Addendum to Board Policy Pertaining to the Rights and Responsibilities of Lead Members, NonLead Members and Countries Offices with respect to Consulting and Commercial Contracting
on Bi-Lateral Aid Projects
Page 304
Background
Within the CARE International Code, the Rights and Responsibilities of a Non-Lead Member
include the following points:
II.A.3
Representation vis-a-vis Bilateral Donors and Embassies
Each CARE Member serves as the primary direct contact with the home office of its own
bilateral donor(s) interested in working with any CARE Country Office. ... ... Each
CARE Member serves as the authorised channel for all assistance provided by its
government or other national donors.
and,
II.C.2.d
Contracts Management
... Any indirect cost recovery (overhead) on contracts with a Non-Lead Member CARE's
major bilateral donors will go to that Member unless they waive or assign it to, or share
with, another Member. ...
In recent times, a number of Lead Members, Non-Lead Members and Country Offices have
faced both increased requests and increasing interest in participating in tenders and bids on
large scale bilateral aid projects being undertaken by Member CARE bilateral donors within
various countries.
Unlike traditional funding to NGOs, the arrangements for tendering and bidding on bilateral aid
projects generally involve either CARE bidding alone or in consortia with commercial project
management organisations or CARE sub-contracting for implementation of components of
projects from commercial project management organisations or consortia that have been
successful in their tenders.
While the spirit of the CARE International Code seems fairly clear with respect to such
situations, the indirect relationship to a bilateral donor may result in confusion over the
appropriate relationship between Country Offices, Lead Members and Non-Lead Members in
such situations.
The intent of this addendum is to clarify the accepted roles and responsibilities in the situation of
tendering and bidding on bilateral aid contracts in Country Offices, Lead Members and NonLead Members.
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Proposed Protocol
Definition:
A "surplus" on a bilateral aid project is defined as the amount budgeted in excess
of direct and indirect project expenses paid to the project contractor that, if the
contractor was a commercial organisation, would normally be recognized as
"profit", when that amount exceeds traditional ICR received on normal contracts.
The proposed protocol for participation in bilateral aid projects, through either participation alone
or in consortia with commercial or consulting organisations in bidding and tendering or subcontracting to commercial organisations or consultants who have been awarded contracts,
incorporates all existing provisions of the Responsibilities of Lead Members and Country Offices
and the Rights and Responsibilities of Non-Lead Members as specified in the CARE
International Code.
The proposed protocol for participation in bilateral aid projects incorporates two possible
situations:
-
participation alone or in consortia with commercial project management or consulting
organisations in bidding or tendering on bilateral aid projects; and
-
sub-contracting to commercial project management or consulting organisations who
have been awarded contracts on bilateral aid projects.
a.
Participation alone or in consortia with commercial project management or
consulting organisations in bidding or tendering on bilateral aid projects.
If a Country Office learns of a bilateral aid project upon which it wishes to bid, it is the
responsibility of the Country Office to inform the concerned CARE Member immediately before
proceeding with any contact with the bilateral donor on the proposed bilateral aid project.
Similarly, if a CARE Member learns of a bilateral aid project upon which it wishes to bid, it is the
responsibility of the CARE Member to inform the concerned Country Office before proceeding
with any bid to the bilateral donor on the proposed bilateral aid project.
Where a Country Office is approached by a commercial project management or consulting
organisation wishing CARE to join a consortium to tender for a bilateral aid project, it is the
responsibility of the Country Office to inform the concerned CARE Member immediately of the
approach. Where a CARE Member is approached by a commercial project management or
consulting organisation wishing CARE to join a consortium to tender for a bilateral aid project, it
is the responsibility of the CARE Member to inform the concerned Country Office before the
CARE Member enters into any commitment with the consortium to be involved.
Page 306
As funds for the project are being provided by the bilateral donor of the concerned Member, it is
the CARE Member that will be the bilateral contractor or partner in the consortium, not the
Country Office. However, in situations where it is advantageous for CARE to be considered a
local organization, the Country Office can be assigned as the bilateral contractor or partner in
the consortium, if the concerned CARE Member is in agreement.
Based on priorities of the concerned Member, the Member has the right to decide if it is in the
interests of the Member to independently bid on the project or participate as a partner in the
consortium and to make appropriate arrangements with other consortium partners for the legal
and financial implications of the partnership. Any decision by a Member to bid on a project must
be in accordance with the CI Code, specifically the Policy and Responsibilities of Non-Lead
Members, section IIB.2.a.
If the concerned CARE Member declines to bid or participate in the consortium, it may (but is
under no obligation to) authorise the Country Office to directly bid or participate directly in the
consortium.
If the concerned CARE Member bids independently or joins the consortium, an agreement
should be entered into between the Country Office and the concerned Member specifying the
roles and responsibilities of the Country Office, the CARE Member and if applicable other
members of the consortium within the framework of the particular bilateral aid project.
Within the parameters of programme excellence, financial viability and cost competitiveness, the
Country Office will present a budget to the CARE Member for activities to be undertaken by
CARE in implementation of the project. Adequate coverage of fixed mission costs would be
incorporated in proposed Country Office budgets. This budget prepared by the Country Office
would be presented by the CARE Member, along with CARE Member costs, as the CARE bid or
to the consortium for inclusion in the project bid. No modifications are to be made to the budget
presented by the Country Office by the CARE Member without prior consultation and agreement
of the Country Office. In the event that the CARE Member and Country Office can not come to a
final agreement on the budget, the Member has the right to decline further participation as a
contractor or partner in the contracting bid.
Sharing of costs associated with independent bidding or tendering in the consortium will be
agreed prior to participation between the Country Office and CARE Member.
Any surplus funds realised by CARE above traditional levels of ICR as a result of its
participation in a successful bid and subsequent implementation of a bilateral project either
independently or as part of a consortium will be split between the Country Office and the CARE
Member on the basis of 50% of realised surplus to the Country Office and 50% of realised
surplus to the CARE Member, calculated after indirect cost recovery has been subtracted from
the realised surplus. If adequate coverage of fixed mission costs is not included within the
proposed Country Office budget as a result of modifications made by the concerned CARE
Page 307
member, then these costs must be subtracted from the realized surplus, before the 50/50 split is
made.
b.
Sub-contracting to commercial project management or consulting organisations
who have been awarded contracts on bilateral aid projects.
Where a Country Office is approached by a commercial project management or consulting
organisation wishing CARE to sub-contract for implementation of a bilateral aid project, it is the
responsibility of the Country Office to inform the concerned CARE Member immediately of the
approach.
Where a CARE Member is approached by a commercial project management or consulting
organisation wishing CARE to sub-contract for implementation of a bilateral aid project, it is the
responsibility of the CARE Member to inform the concerned Country Office before the CARE
Member enters into any commitment with the consortium to be involved.
Within the parameters of programme excellence, financial viability and cost competitiveness, the
Country Office or CARE Member as agreed would present a budget to the commercial project
management or consulting organisation for activities to be undertaken by CARE in
implementation of the project. Adequate coverage of fixed mission costs would be incorporated
in proposed Country Office budgets.
An agreed amount for indirect cost recovery to the concerned CARE Member will also be
included in the budget presented to the commercial project management or consulting
organisation as part of CARE's budget submission for implementation of the project.
Agreement must be reached between the concerned CARE Member and the Country Office
before any sub-contractual arrangement is reached in order to ensure that the interests and
concerns of both the Country Office and CARE Member are addressed.
c.
Dispute Resolution
Any dispute arising between the Country Office and CARE Member will be resolved through
established CARE International guidelines and procedures.
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Section 16 – Marketing
Section 16 Marketing
February 1999
Page 309
Fundraising Code of Ethics and Standards of Practice
All CARE International Members must adhere to the CARE International Code of Ethics. In so
doing, Members pursue the highest professional standards of accuracy, truth, integrity and good
faith.
The following excerpts from the general CARE International Code of Ethics guide the actions of
all Members with reference to private donor fundraising:
Members shall….
•
act in accord with all relevant statutory requirements of their respective countries.
•
exercise all due and proper responsibility in all financial matters, including accuracy of
fundraising literature, application of funds only in pursuance of the organization’s stated
objectives, and the practicing of complete and accurate public financial disclosure.
•
audit accounts in accordance with nationally recognized accounting principles and practices.
•
acknowledge the necessity of timely, accurate and relevant reports as required under
agreement with donors and donor agencies.
•
ensure fundraising and administrative costs are consistent with respective national codes.
•
seek to maximize the proportion of donated funds used in support of projects and programs,
and to ensure that all expenditure on fundraising and administration is cost effective.
•
allocate and spend designated funds, raised by specific appeals for particular objectives, in
accordance with the stated purpose of the appeal.
•
employ responsible media and marketing techniques; promotion and advertising must be
truthful and accurate and meet applicable advertising standards within their respective
countries.
Standards of Practice for Private Donor Fundraising
To ensure adherence to the principles of the CI Code of Ethics, Members shall follow the
Standards of Practice outlined below.
Portrayal of Beneficiaries
In all public information Members shall ensure that the dignity of beneficiaries is upheld.
Treatment of Donor Information
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Members shall keep all information confidential and shall not disclose privileged information to
unauthorized parties.
Members shall give donors the opportunity to have their names removed from lists which are
sold to, rented to, or exchanged with other organizations.
Communication with Donors
Members shall be prompt, truthful and forthright in providing answers to donors’ questions.
Members shall acknowledge and recognize specific donors where required and appropriate.
Where appropriate, Members shall ensure the timely acknowledgment and receipting of a gift.
Where requested by the donor, they shall ensure timely reporting on the use and management
of funds and obtain the explicit consent of the donor before altering the conditions of a gift.
Members shall ensure that donors receive informed and ethical advice about the value and tax
implications
of
their
gifts,
according
to
national
law
and
custom.
When asked, Members will inform donors whether those seeking donations are volunteers,
employees of the organization or hired solicitors.
Administration
Members shall not remunerate their fundraising staff on a commission basis but through an
annual salary. All fundraising agreements with outside firms or individuals shall be put into
writing and these shall be in compliance with National fund raising law and custom.
Public Communication
Members shall make accurate public statements about the volume of funds raised and
transparently account for their use using accepted national accounting standards.
Members shall not use the symbols, names or slogans of other international or national nongovernmental organizations improperly.
Consequences of Non-Compliance
The CI Marketing Committee shall be responsible for self-monitoring compliance to the Code
and Standards of Practice. Alleged violations may be brought to the attention of the CI
Marketing Chairperson in confidence. If, following an investigation by the Chairperson, the
allegations are substantiated, the Chairperson will refer the matter to the Secretary-General and
the CI Board of Directors for further action.
Page 311
Ethical Guidelines on Engagement
with Corporations
March 2004
Page 312
Why CARE Works with Corporations
CARE believes that an end to poverty will require the focused commitment and resources of
governments, civil society and business. Business activity necessarily has an impact on the
local community, and multi-national corporations often have significant influence in global
debates of relevance to CARE’s mission.
Corporations provide valuable financial support for CARE’s global operations, contribute advice
and technical expertise to the organization, and act as program partners. Based on over 50
years of direct field experience, CARE can also provide advice and expertise to corporations on
how they can improve their business practices for the benefit of their employees, local
communities, and ultimately their shareholders.
In addition to joint-programming partnerships, CARE’s engagement with the corporate sector
ranges from direct corporate donations, through to the provision of advice on corporate social
responsibility (CSR), other fee-for-service consulting arrangements, payroll giving and matching
gifts, cause-related marketing, contributions-in-kind, licensing, marketing promotions, and event
sponsorship.
At times, CARE may also choose to advocate for improvements in corporate practice, with
individual corporations or an industry, where doing so would improve the lives of poor and
marginalized people in the developing world.
Overall, CARE’s policy is to enter into a range of corporate partnerships with the end goal of
building a world where all people live in dignity and security.
CARE will partner with
corporations concerned about the impact of their business on local communities, as well as
those corporations which demonstrate openness to changing potentially harmful business
practices, or improving the overall social impact of their operations.
We will develop
partnerships which allow us to achieve our mission while also protecting the quality of our work
in the field and the strength of our global brand.
Nature of These Guidelines
The following guidelines are intended to apply as the minimum standard for CI Members when
engaging with the corporate sector for programme, marketing and/or advocacy purposes.
Individual Members may, depending on their resources or strategic intent, define more
elaborate guidelines or internal processes in addition to these minimum requirements.
Page 313
Guiding Principles
Wherever potential partnerships originate with CARE (via marketing, programme or advocacy),
the following principles will guide all CI Members and Country Offices in discerning whether or
not to engage with a corporation:
•
The relationship will enhance CARE’s ability to achieve our mission and contribute to
raising positive awareness of the CARE brand. (It is equally understood by all parties
that a “no risk” assumption is unrealistic.)
•
The company will have a history of open dialogue with NGOs and a stated commitment
to corporate social responsibility that is borne out in its business practices. (Where such
a history cannot adequately be demonstrated, CARE may still engage with a corporation
who clearly intends to now build such positive practices.)
•
The partnership will be based on transparency and mutual benefit. CARE will not
engage in any partnership solely for “cosmetic” purposes or where there is no net
financial or other agreed gain to the organization once all costs to implementing and
sustaining the partnership -- including staff time -- are accounted for.
•
CARE prefers to engage with corporate partners with a view to building a relationship
that is sustainable over the long-term.
•
CARE acknowledges the business drivers behind corporate social responsibility and will
be open and flexible in relation to those needs.
•
CARE will not endorse a product(s) and will provide no guarantees or preferences for
procuring a company’s product(s).
•
While CARE discourages agreeing to exclusives with any company, group of
companies, or industry, we recognize that there are occasions where an exclusivity
provision can provide marketing or other benefits to CARE. Therefore, each CI member
may determine exclusivity restricted to the limits of their own territories, markets, and
business arrangements. Should a potential exclusive involve other CI member markets
or other CI member lead countries, agreement from the other CI member must be
acquired in advance.
•
CARE will share these guiding principles with its corporate partners, as appropriate.
Industries with which CARE will not Engage
No CARE Member will engage with industries where the product produced or service offered is
in itself so antithetical to our vision of a world where all people live in dignity and security that a
discussion of how to improve business practices would not be relevant. These necessarily
include:
•
Corporations whose material business is the manufacture of weapons.
•
Corporations whose material business is the production and/or distribution of
pornography.
Page 314
In other cases where a CARE Member considers a corporation’s corporate practice to be
inherently harmful (eg exploitative child labour practices), or where its products, while not
antithetical to CARE’s vision, may be objectionable to the Member’s constituents (eg tobacco),
the CARE Member will only engage to advocate or advise for improved corporate practice. In
these cases, CARE will not undertake co-branding; cause-related marketing; event sponsorship;
TV or radio advertising; or website collaboration.
In addition to those areas of commercial activity mentioned above, there may be occasions
where CARE elects not to work with other industries or corporations based on due diligence and
a thorough risk assessment (see below).
Fee-For-Service or Consulting Arrangements
Because CARE believes strongly that business must play an active role in building a world
where all people live in dignity and security, we will at times engage on a fee-for-service or
consulting basis with corporations with a mixed record in terms of social impact on local
communities. (One example of this would be CARE advising a corporation on developing
programmes to address HIV/AIDS in the workplace.)
For CARE, these types of partnerships must demonstrate real potential for improving the lives of
those we serve. Every measure will be taken to ensure that CARE’s brand and reputation with
other stakeholders are not harmed. In these cases, it is a clear commitment to achieving
socially responsible and sustainable business practices that will drive CARE’s decision to
engage.
Conversations with Multi-National Corporations
In exploring a potential partnership, CARE wishes to engage corporations in an open and
transparent conversation along the following lines:
•
Does the company have policies dedicated to ensuring corporate social responsibility,
and staff actively engaged in their implementation?
•
To what extent are such policies able to be followed through consistently in business
activities? How does the corporation monitor and meet the challenges of implementing
such policies?
•
How does the company engage with NGOs and the broader community?
•
To what extent does the parent company directly control the business activities of local
subsidiaries? Are they also obligated to uphold and report on adherence to corporate
social responsibility policies?
Page 315
CARE expects mutual transparency and openness to dialogue in its partnerships and to engage
with its partners at a meaningful level within the corporation.
It should be noted that if a multi-national corporation is headquartered in a country with a CARE
Member, the CARE Member in question must be consulted before any other CARE Member or
Country Office seeks to establish a relationship with that corporation. If agreement cannot be
reached on how to proceed, the involved Members shall refer the matter to the Secretary
General for his/her final decision.
Due Diligence and Risk Assessment
All CARE Members and Country Offices commit to using their best professional judgment as to
whether a gift or relationship might require further due diligence and risk assessment, and the
notification of CARE’s broader membership. In this regard, CARE’s internal processes need to
balance adequate due diligence and risk management with speed and flexibility in order to build
effective relationships with external partners. 57
Due diligence: CARE Members and Country Offices commit to undertaking due diligence and
assessing the potential risk for the broader organization as a whole before engaging fully in a
partnership. Specifically, Members will assess risks related to:
•
The potential risk to CARE’s image and reputation with the broader public, our donors
and existing partners based on negative publicity about the corporation or current
allegations of harmful business practice;
•
Company activities and alleged activities which may reflect poorly on CARE or be
explicitly counter to our mission of ending poverty (e.g. allegations of illegal labour
practices). This assessment should include risks that may be outside of a corporation’s
control but still have a harmful impact on poor and marginalized communities;
•
The ability of the corporate partner to commit financially to a sustainable partnership or
to sustain costs associated with the partnership.
Risk assessment should be based on the potential impact and opportunity for the CI office
negotiating the partnership, as well as for the broader organization as a whole. It is the
responsibility of the CARE office originating the partnership to ensure this assessment occurs.
(A template and resource list for research is available from the Secretariat.)
57
Due diligence is understood here as a measure of activity that might properly be expected from, and ordinarily
exercised by, a reasonable and prudent person under the particular circumstances.
Page 316
Reporting
All CARE Members shall report to the Secretariat in March and September of each year the
extent and nature of all their relationships with corporations, including those undertaken at the
Country Office level. The Secretariat shall compile the reports received and circulate the whole
to the National Directors.
Decision In Case Of Conflict
In the event that one or more Members take issue with a proposed or in-place corporate
relationship being pursued by another Member, the involved Members will make every effort to
address their concerns through dialogue and within the framework offered by these guidelines.
If agreement cannot be reached, the involved Members shall refer the matter to the Secretary
General for his/her final decision.
Page 317

The CARE International Code

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