cso self-regulation: emerging patterns and trends robert lloyd one world trust
TRANSCRIPT
CSO self-regulation: emerging patterns and trends
Robert LloydOne World Trust
• The benefits of CSO self-regulation • Overview of the CSO self-regulation project • Patterns of self-regulation worldwide• Typology of CSO self-regulatory• Approaches to ensuring compliance• Weaknesses and challenges to CSO self-
regulation
Issues to cover
What the benefits of CSOs self-regulation?
• Builds public trust – Identifies to stakeholders what the sector collectively standards for and provides a basis
for accountability – Helps weed out rogue CSOs
• Signals quality and professionalism to donors – Helps organisations stand out in an increasingly competitive and crowded field
• Protects the political space for CSOs to operate– Allows the sector to define what it means by accountability rather than have others
defined it for them – Increases the leverage of the sector vis-a-vis government by enabling it to speak with one
voice and indicate collective efforts
• Facilitates the sharing of good practice and learning on accountability and quality
Aim and objectives of the CSO self-regulation project
Aim: Strengthen and protect the credibility and legitimacy of CSOs as actors in governance and public policy by encouraging the development and implementation of sector level self-regulation
Objectives:• Raise awareness of existing self-regulatory initiatives
worldwide• Facilitate the sharing of experiences and learning on self-
regulation, internationally • Identify and increase understanding of best practice • Increase understanding of complementarities, overlaps and
tensions between initiatives
Outputs from the CSO self-regulation project
• Online database of CSO self-regulatory initiatives
• Interactive map indicating levels of CSO self-regulation worldwide
• Thematic and issue specific briefing papers
• Future plans:– Toolkit for CSOs on how to develop self-regulatory initiatives with
examples of best practice, compliance mechanisms, institutional structures etc
– Methodology for assessing the implementation / impact of self-regulation on the sector and individual organisations
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are needed to see this picture.
How the online database works
http://www.oneworldtrust.org/csoproject/
Levels of CSO self-regulation worldwide
http://www.oneworldtrust.org/csoproject/
CSO self-regulation is more widespread than we previously thought
•Past studies only looked at particular sectors or regions
343 initiatives identified worldwide•309 at the national level •34 at international and regional level
…..and we know there is more out there!
A picture of CSO self-regulation worldwide
CSO self-regulation in Europe and Central Asia
Austrian Seal of Quality for Donations
Ethical Guidelines for North / South Information in Norway
Le Comite de la Charte – France
Trademark of Trust – Hungry
Guidestar Netherlands
NCO Coorinates – Russia
Social Actions Commitment to Quality in the Third Sector – Spain
144 initiatives identified within the region
http://www.oneworldtrust.org/csoproject/
CSO self-regulation in the Americas
Transparency Standards for NGOs - Chile NGOs for Transparency Network -
Colombia Evaluation of Organisational
Development System - Paraguay Interaction PVO Standards - USAGovernance & Transparency
Indicators - Mexican Center for
Philanthropy Code of Ethics of CSOs - Honduras Letter of Principles Brazilian NGO
Association
85 initiatives identified within the region, including:
http://www.oneworldtrust.org/csoproject/
CSO self-regulation in Asia and the Pacific
NPO Certification - Pakistan
PCNC NGO certification -Philippines
GuideStar Korea
10 Point Accountability Agenda – Bangladesh
Credibility Alliance Norms and Good Standards– India
ACFID Code of Conduct – Australia
NGO Good Practice Project Certification System – Cambodia
http://www.oneworldtrust.org/csoproject/
37 initiatives identified within the region, including:
CSO self-regulation in the Africa and the Middle East
Palestinian NGO Code of Conduct
NGO Quality Assurance Mechanism - Uganda
GuideStar Israel
NGO Code of Ethics Self-Assessment Program - Tanzania
Greater Good South Africa
Code of Conduct for NGOs in Nigeria
Database of Malian CSOs
Ghana CSO/NGO Standards for Excellence Project
http://www.oneworldtrust.org/csoproject/
43 initiatives identified within the region, including:
Informal structure
Formalised structure
Info
rmat
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ser
vice
s
Self certification
Codes of conduct / ethics
Third party certification
Peer certification
Light compliance
Heavy compliance
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Types of CSO self-regulation
Approaches to compliance
Monitoring mechanism Sanctioning mechanism
Proactive Self assessment •Desk assessment •Field assessment•Both
Recommendations for corrective action (confidential)
Peer assessment Recommendations for corrective action (made public)
Third party assessment Financial penalty
Reactive Complaints procedures Membership suspension / Removal from initiative
Strength
Benefits and challenges of different monitoring mechanisms
Type Benefits Challenges
Self-assessment
Encourages ownership of the assessment process
Less costly than peer and third party assessments.
Ensuring that organisations are truthful about themselves
Integrity of assessment may be questioned by external stakeholders
Peer-assessment More independent process than self-assessment
Encourages organisations to share their experiences and learning with each other
Members may be reluctant to criticise their peers
Assessing organisations need to be willing to commit the necessary time and resources
Requires strong foundation of trust between organisations.
Assessment is only meaningful between similar organisations
Third-party assessment
Greater credibility from an independent assessment
External assessment can identify issues that are difficult for those internal to an organisation to see
The process of assessment can be costly
Being granted a certificate can lull an organisation into a false sense of security
Complaints procedure Relatively low cost to set up and run Only reveals cases of non-compliance when reported
Public/stakeholders need to be aware of complaints procedure
Benefits and challenges of different sanctioning mechanisms
Type Benefits Challenges
Confidential recommendations
Allows member to rectify mistakes, build on learning process
Members may ignore recommendations
Recommendations made and disclosed publicly
Encourages members to act on recommendations by creating public pressure
May undermine public confidence in the sector
Financial penalty Acts as a strong deterrent to non-compliance
Will only be effective if penalty cost exceeds benefits of free-riding
Membership suspension / expulsion
Acts as a deterrent to free riding
Removes poor performing members from initiative
Seen as too extreme by member organisations
Expulsion publicised
Demonstrates stringency of the initiative to the public
May undermine public confidence in the sector
Nature of state – civil society relations
Level of Public trust in the CSO
sector
Resources available to the sector
Level of trust & collaboration between
CSOs
Diagram 1: Key factors shaping a compliance system
CSO self-regulation
Have we missed an initiative in your country? Let us know!