The North Hertfordshire COMPACT
Codes of Conduct
Using the North Herts Compact as a starting point, four codes of good practice were developed:
These codes were launched at an annual Compact event in November 2004.
Code of Good Practice: Funding
AIMS
This Code of Practice clarifies the funding relationship between the Statutory Sector and the Voluntary & Community Sector (VCS). It recognises the VCS's desire for greater security, the Statutory Sector's desire for genuine accountability for public funding; and the public's desire for the delivery of good services.
INTRODUCTION
The VCS provide a broad and important range of opportunities, skills and resources to: -
- Use their expertise to inform and implement public policy.
- Promote equality and social inclusion and alleviate poverty.
- Foster, support and empower service users, volunteers and communities.
- Build bridges between the public sector and local communities.
- Provide high quality services that are complementary or additional to those provided by the Statutory Sector.
- Identify needs and innovative ways of addressing these.
The activities of the VCS in North Hertfordshire are funded in a number of ways e.g. by the Statutory Sector (through Contracts, Service Level Agreements, and Grants); from other local and national sources; and by other fundraising efforts. In addition, the Statutory Sector sometimes provides support through means such as discretionary rate relief and help in kind.
This code of practice applies in all situations where the Statutory Sector provides direct financial support to a Voluntary/Community Organisation (VCO).
UNDERTAKINGS OF THE STATUTORY SECTOR
The Statutory Sector is committed to establishing and maintaining best practice in the way it funds the VCS and undertakes to implement an effective funding framework that:
- Helps to ensure "Best Value", i.e. efficient, effective, good quality services measured against targets and standards.
- Ensures that their funding processes and guidance (e.g. initial applications; assessments; decision making; monitoring and evaluation) are consistent with the principles of providing effective protection of, and proper accountability for, public money.
- Respects the VCS's independence and acknowledges that this should be unaffected by a funding relationship.
- Responds to the VCS's need for financial stability.
- Recognises the importance of core costs and the different ways that they can be provided.
- Improves sustainability and longer-term planning.
- Develops the infrastructure to support the VCS.
- Provides funding opportunities that are accessible to small community organisations run by volunteers as well as to larger/staffed organisations.
- Reviews their allocation of funding to the VCS regularly and does not exclude any part of the sector, especially those organisations representing minority, disadvantaged or socially excluded groups
- Introduces whenever possible longer than one year contracts and/or service level agreements.
- Clarifies the role and remit of statutory sector representatives on VCOs.
- Consults and informs the VCS on matters of funding and related issues.
UNDERTAKINGS OF THE VCS
The VCS recognises that being a recipient of public funds carries with it responsibilities both to the funding body and to the public that receive the services for which the funding has been provided.
The sector undertakes to pursue good practice and administration of public funds appropriate to the scale of funding, and the level and range of services provided. This will include: -
- Clear employment policies, and effective management arrangements and procedures.
- Proper and appropriate systems for the management, control, accountability, propriety and audit of their finances.
- Compliance (by organisations that hold charitable status) with the requirements of the Charity Commission.
- Arrangements for planning, implementing, monitoring and evaluating work programmes.
- Systems for quality assurance and accountability to service users wherever possible (including complaints procedures and the involvement of users) wherever possible, in the development and management of activities and services.
- Policies for ensuring equality of opportunity in both employment practice (including involvement of volunteers) and service provision.
- Acknowledgement of support from the Statutory Sector.
- Passing information through their networks to reach as many people as possible, within the resources available.
MUTUAL UNDERTAKINGS
More detailed guidance on aspects of this Code of Practice is provided in Appendix 1, which includes undertakings by each, and both, the Statutory Sector and the VCS.
APPENDIX 1: APPLICATION AND ASSESSMENT
- Introduce a single standard application process for each organisation and work towards making the forms available electronically in a widely compatible format. The information will make clear when, and to whom, forms must be returned.
- Applicants are responsible for getting their application to the right person, at the right place, at the right time.
- For organisations already receiving financial support, a standard renewal application form will be developed to avoid having to resubmit information. However, funding recipients must inform the statutory partner of any relevant changes in circumstances. Clear information will be provided about what changes must be notified.
- Conversely, statutory funders will be encouraged to notify applicants of any material change to the funding criteria well in advance.
- If possible, the Statutory Sector will avoid requesting multiple copies of documentation. But this may still be necessary where an organisation has a funding relationship with more than one department.
- At least four weeks will be allowed between availability of application forms and the deadline for their return. Unless informed of good reasons for a delay and an extension agreed, the deadline stated will be enforced.
- Letters will be sent to all applicants within ten working days to acknowledge receipt of their application and to inform them of the ensuing timetable.
ASSESSMENT
- Applications will be assessed against criteria that are clearly stated in the supporting information and guidance.
- Organisations may include elements of core costs in each application for project funding.
- Under-spends of funding should normally be returned unless negotiated and agreed otherwise.
- Organisations will be encouraged to build up contingency reserves to meet unforeseen circumstances and liabilities.
- Levels of reserves and uncommitted funds will be taken into account.
- Under "matched funding" arrangements, proper account will be taken of resources in kind, such as volunteers' time.
FUNDING DECISIONS
- Applicants will be advised on the arrangements and procedures for making decisions on the applications received and any complaints procedure. There is no separate right of appeal against the final decision.
- Written confirmation of funding decisions will normally be sent to applicants within ten working days of the decision being taken.
- Where funding has been refused, or significantly reduced, an explanation of the reasons will be provided.
TERMINATION OF FUNDING
- When considering ending or reducing financial support, the Statutory Sector will take into account obligations of the VCS organisation towards its staff, volunteers and service-users.
- The VCS organisations will be encouraged to establish reserves to meet contingencies.
PAYMENTS
- Successful applicants will be told in the letter that confirms the funding when and how payments will be made.
FINANCIAL REPORTING
- The financial reporting requirements will be proportional to the amount of funding allocated, and to the size and capacity of the organisation.
- The organisation will undertake to keep accurate accounting records at all times during the period of the funding.
MONITORING AND EVALUATION
- The monitoring process will be realistic, fair and consistent and the evaluation should be reviewed jointly by both parties.
- Clear guidelines on the monitoring process and the types of information (quantative and qualitative) required should be made clear at the start of the period of funding.
- Examples of good practice should be shared to encourage excellence.
Code of Good Practice: Consultation
"Consultation is a process of dialogue that leads to a decision. It can be a powerful tool for improving the quality and cost effectiveness of services and for ensuring that policy makers stay in touch with citizens" (Audit Commission).
AIMS
- To establish effective and meaningful consultation processes that enable feedback from the Voluntary and Community Sector (VCS) to influence the planning and delivery of public services. Outcomes of any consultation exercises will be shared with the VCS and will enable the voluntary and statutory sectors to work together to improve services for the benefit of local communities.
- To support and develop inclusive mechanisms for consultation.
- To ensure that consultation procedures offer a balanced and informed reflection of all relevant views, and are both accountable and transparent.
MUTUAL UNDERTAKINGS BY THE VOLUNTARY AND COMMUNITY SECTOR AND THE STATUTORY SECTOR
All partners recognise the value of consultation that:
- Provides early and unhurried input into policy development.
- Supports the principles of accountability, accessibility, inclusiveness, and clarity.
- Is informed, balanced, relevant, transparent and honest. Covers the implementation and monitoring aspects of policy proposals where relevant and appropriate.
- Takes account positively of the specific needs, interests and contributions of minority groups and those serving socially excluded people.
- Uses language, which is clear and simple, avoiding unnecessary jargon, acronyms, abbreviations and uses appropriate font sizes and styles, eg. Arial 12 as recommended by the Royal National Institute for the Blind.
UNDERTAKINGS BY THE STATUTORY SECTOR
- Develop clear consultation processes that explain the aims, procedures, boundaries set and the timescales involved; and to carry out secondary research prior to consultation to determine if there is a need for consultation
- Develop consultation protocols.
- Respect and value the campaigning role of the VCS, while acknowledging that this may sometimes conflict with statutory agencies? policies, plans and decisions
- Whenever possible, consult with the VCS on issues likely to affect it prior to new policies and procedures being developed.
- Ensure that resources are available for consultation and be willing to change proposals and policies as a result of such listening.
- State clearly what it is that is being consulted on and, if appropriate, explain what elements of the proposal or consultation document are for information only and not for consultation.
- Provide background material where appropriate and ensure it is accurate and up to date.
- Explain which groups of people are being consulted with and why their input is important (i.e. because they may be particularly affected by a change of policy etc).
- State how much time is available for the consultation and endeavour to give consultees enough time to consider the issues properly (i.e. allow at least three months for every consultation exercise but recognise that sometimes circumstances beyond control will not make this possible).
- Tell people who took part in the consultation what the overall results are and publish the final decision/outcomes as soon as they are known.
- List the VCS participants that took part in the consultation.
UNDERTAKINGS BY THE VOLUNTARY AND COMMUNITY SECTOR
- Advise the Statutory Sector of groups that should be consulted, and share proposals with other interested groups.
- Respect any confidentiality requirements relevant to the consultation material.
- Send comment and feedback by the deadline requested.
- Ensure that feedback is accurate and relevant and fairly reflects the views of consultees.
- Ensure that volunteers, members, trustees and employees participate in consultation and share feedback widely on its outcomes.
- Promote opportunities for liaison on consultation proposals between community and voluntary organisations working in the same activity or services.
- Ensure that, within available resources, services users, carers, volunteers, members and supporters are informed and involved, and where possible, consulted directly, in consultation exercises, as appropriate.
Code of Good Practice: Volunteering
This Code of Good Practice sets out the undertakings for the Statutory Sector and the Voluntary and Community Sector (VCS) on good practice for volunteering. The aim is to enable more people to become involved in the varied forms of voluntary activity that are a vital part of active citizenship and to improve the experience for those already involved.
WHAT IS VOLUNTEERING?
For the purpose of this code, volunteering is defined as:
"An activity that involves spending time, by choice and without pay, doing something that aims to benefit society and the community."
There are four principles fundamental to volunteering which are:
- Choice: Volunteering must be a choice freely made by each individual.
- Diversity: Volunteering should be open to all, no matter what their background, age, race, sexual orientation, faith, etc. Inclusiveness and diversity in volunteering benefit everybody.
- Mutual benefit: Volunteers offer their contribution unwaged but should benefit in other ways in return for their contribution.
- Recognition: The value of the contribution, which volunteers make to the community and wider social economy should be recognised.
Volunteering encompasses a wide range of activities. The scope of voluntary and community involvement in North Herts is shown in Appendix 1.
THE ROLE OF VOLUNTEER BUREAUX
It is recognised in North Herts that the two Volunteer Bureaux (in Letchworth and Royston) operate as the specialist local volunteering development agencies, fulfilling a nationally recognised role.
The aims and objectives of the Volunteer Bureaux are to support, develop and promote volunteering and its benefits in North Hertfordshire by:
- Promoting volunteering.
- Providing a volunteering referral service (matching volunteers with volunteering opportunities) and an enquiry service.
APPENDIX 1 - SCOPE OF VOLUNTEER INVOLVEMENT IN NORTH HERTS
- Helping provide a service as an unpaid volunteer within a voluntary or community organisation, international development organisation, the public sector or a not-for-profit organisation.
- Taking part in running a voluntary or community organisation as a trustee, board or committee member.
- Serving as a non-executive member of a public body or participating in civic governance.
- Leading a voluntary initiative, usually as part of a voluntary organisations or community groups, to improve the quality of life for people in neighbourhoods or communities of interest.
- Volunteering in a particular field of work to gain experience and skills which will be useful in employment.
- Participating in community activity, within a neighbourhood or community of interest, providing a community service, or campaigning for a public cause.
- Encourage volunteering for national initiatives such as Timebank and Millenium Volunteers.
- Being a member of a self-help or support group.
- Employer-supported community involvement.
- Helping develop public policy through involvement in consultation processes, user panels or acting as a representative, or through campaigning.
- Volunteering through involvement in a faith congregation or community.
- Funding-raising for community causes.
APPENDIX 2 - GOOD PRACTICE GUIDANCE ON INVOLVING VOLUNTEERS
The following is a good practice checklist. You should note that these are basic summary points, with further practical guidance available from other sources such as local volunteer bureaux or Volunteering England (Tel 0845 305 6979). They apply to organisations who have someone responsible for managing volunteers (often a paid member of staff), not to informal community groups:
- Prior to recruitment, be clear about why you want/need a volunteer.
- Ask the volunteer to provide two references and follow them up.
- Provide the volunteer with a clear role/task description, identifying anticipated requirement/s of the organisation.
- Provide the volunteer with an initial induction and training programme.
- Provide the volunteer with appropriate line management.
- Add volunteers to organisation charts. Encourage volunteers to participate in the organisation's wider decision-making process.
- Monitor and acknowledge the contribution that volunteers make to the organisation, to the wider public, to funders and to other volunteers.
- Ask the volunteer what they seek from their placement and share with the volunteer what you want. Remember that any placement should be by mutual consent.
- Always offer to reimburse out-of-pocket expenses. These normally include travel and lunch and could include care for dependants. Where a placement is away from home, this might also include accommodation and subsistence allowance.
- Ensure that Health and Safety standards are in place and applied equally to all employees (and volunteers).
- Provide opportunities for volunteers to acquire or develop new or existing skills and assist volunteers who want to gain accreditation towards recognised qualifications.
- Volunteers should not be recruited to fill the place of paid staff. This could be perceived as exploitation of the volunteer and deprival of someone's livelihood.
- Ensure that the work and contribution of the volunteer adds quality and value to the organisation?s aims and objectives.
- Ensure that Equal Opportunities and/or diversity policies are in place and applied equally to volunteers. Examine the organisation's ways of working for anything that may pose a barrier for some members.
- Encourage and promote a diverse range of employees at all levels. This will help volunteers of different ethnic groups, ages, disabilities, etc feel welcome.
- In order to attract volunteers from groups that the organisation has previously failed to reach, it may be helpful to approach those groups/people directly to establish what would make volunteering with the organisation more appealing to them.
- Comply with Criminal Records Bureau regulations and guidance in conducting police checks on volunteers.
Code of Good Practice: Partnership Working with the Black and Minority Ethnic Voluntary and Community Sector
According to the 2001 census black and minority ethnic (BME) people make up 6.8% of the population of North Herts. Some issues affecting the BME Voluntary and Community Sector (VCS) may not always have been adequately met in the past and now need to be given a higher priority.
AIMS
The aims of this Code of Good Practice are:
- To strengthen the relationship between the Statutory Sector and the BME VCS which includes Faith Groups and Refugee and Asylum Seeker Organisations.
- To promote the contribution of the BME VCS in developing a democratic, socially inclusive society and to enable all individuals to contribute to public life and to the development of their communities.
- To enable the BME VCS to contribute to policy development and service delivery in North Herts and to outline the framework for this relationship.
MUTUAL UNDERTAKINGS BY THE BME VOLUNTARY AND COMMUNITY SECTOR AND THE STATUTORY SECTOR
- Consider the needs of North Herts BME communities in the course of all their activities and decisions.
- Take active steps to involve BME groups and community representatives in consultations.
- Work towards the removal of individual and institutional racism within organisations, and to have policies for responding to incidents of harassment and prejudice.
- Provide suitable training for staff, volunteers and management committee members and others who have decision-making powers or deal directly with the public.
There are separate Codes of Good Practice on Consultation, Funding, and Volunteering but the following actions are particularly relevant to the BME VCS:
Consultation
- Representatives of BME VCS organisations and groups will be included from an early stage in all relevant consultations, to make sure that their views are taken into account in decision-making through their formal and informal contributions.
Funding
- Extra resources may need to be allocated to provide adequate support for BME organisations.
- Funding criteria and process should be reviewed regularly to ensure that they do not disadvantage BME groups.
Volunteering
- Encourage volunteering amongst BME communities and endeavour to provide support to allay the fears of racism.
- Race awareness training should be provided for both statutory and voluntary organisations to meet the needs of volunteers from BME communities.
UNDERTAKING BY THE STATUTORY SECTOR
- To provide the required support to BME organisations, both existing and new, and work with the VCS towards that end.
UNDERTAKING BY BME VCS
- To actively promote and support the Compact.