@import url('https://fonts.googleapis.com/css2?family=Roboto+Condensed:wght@300;400;700&display=swap');
+88 01713504255 contact@dri-int.org

dri-policy-and-protocols

 

dri-policy-and-protocols

Development Research Initiative (dRi)

dRi Anti-Bribery & Anti-Corruption Policy

  1. What does your policy cover?

1.1 This anti-bribery policy exists to set out the responsibilities of the employees of dRi and those who work with us in regards to observing and upholding our zero-tolerance position on bribery and corruption.

1.2 It also exists to act as a source of information and guidance for those working for dRi. It helps them to recognise and deal with bribery and corruption issues, as well as understand their responsibilities.

  1. Policy statement

2.1 dRi is committed to conducting business in an ethical and honest manner, and is committed to implementing and enforcing systems that ensure bribery is prevented. dRi has zero-tolerance for bribery and corrupt activities. We are committed to acting professionally, fairly, and with integrity in all business dealings and relationships, wherever in the country we operate.

2.2 dRi will constantly uphold all laws relating to anti-bribery and corruption in all the jurisdictions in which we operate. We are bound by the laws of the Bangladesh, in regards to our conduct both at home and abroad.

2.3 dRi recognises that bribery and corruption are punishable by up to ten years of imprisonment and a fine. If our company is discovered to have taken partin corrupt activities, we may be subjected to an unlimited fine, be excluded from tendering for public contracts, and face serious damage to our reputation. It is with this in mind that we commit to preventing bribery and corruption in our business, and take our legal responsibilities seriously.

  1. Who is covered by the policy?

3.1 This anti-bribery policy applies to all employees (whether temporary, fixed-term, or permanent), consultants, interns, agents, sponsors, or any other person or persons associated with us (including third parties), or any of our subsidiaries or their employees, no matter where they are located (within or outside of the Bangladesh). The policy also applies to Officers, Trustees, Board, and/or Committee members at any level.

3.2 In the context of this policy, third-party refers to any individual or organisation dRi meets and works with. It refers to actual and potential clients, customers, suppliers, distributors, business contacts, agents, advisers, and government and public bodies – this includes their advisors, representatives and officials, politicians, and publicparties.

3.3 Any arrangements dRi makes with a third party are subject to clear contractual terms, including specific provisions that require the third party to comply with minimum standards and procedures relating to anti-bribery and corruption.

  1. Definition of bribery

4.1 Bribery refers to the act of offering, giving, promising, asking, agreeing, receiving, accepting, or soliciting something of value or of an advantage so to induce or influence anaction or decision.

4.2 A bribe refers to any inducement, reward, or object/item of value offered to another individual in order to gain commercial, contractual, regulatory, or personal advantage.

4.3 Bribery is not limited to the act of offering a bribe. If an individual is on the receiving end of a bribe and they accept it, they are also breaking the law.

4.4 Bribery is illegal. Employees must not engage in any form of bribery, whether it be directly, passively (as described above), or through a third party (such as an agent or distributor). They must not bribe a foreign public official anywhere in the world. They must not accept bribes in any degree and if they are uncertain about whether something is a bribe or a gift or act of hospitality, they must seek further advice from the company compliance manager.

  1. What is and what is NOT acceptable

5.1 This section of the policy refers to 4 areas:

  • Gifts and hospitality.
  • Facilitation payments.
  • Political contributions.
  • Charitable contributions.

5.2 Gifts and hospitality

dRi accepts normal and appropriate gestures of hospitality and goodwill (whether given to/received from third parties) so long as the giving or receiving of gifts meets the following requirements:

  1. It is not made with the intention of influencing the party to whom it is being given, to obtain or reward the retention of a business or a business advantage, or as an explicit or implicit exchange for favours or benefits.
  2. It is not made with the suggestion that a return favour is expected.
  3. It is in compliance with local law.
  4. It is given in the name of the company, not in an individual’s name.
  5. It does not include cash or a cash equivalent (e.g. a voucher or gift certificate).
  6. It is appropriate for the circumstances (e.g. giving small gifts around any festival or as a small thank you to a company for helping with a large project upon completion).
  7. It is of an appropriate type and value and given at an appropriate time, taking into account the reason for the gift.
  8. It is given/received openly, not secretly.
  9. It is not selectively given to a key, influential person, clearly with the intention of directly influencing them.
  10. It is not above a certain excessive value, as pre-determined by the company compliance manager.
  11. It is not offered to or accepted from, a government official or representative or politician or political party, without the prior approval of the company compliance manager.

5.3 Where it is inappropriate to decline the offer of a gift (i.e. when meeting with an individual of a certain religion/culture who may take offence), the gift may be accepted so long as it is declared to the compliance manager, who will assess the circumstances.

5.4 dRi recognises that the practice of giving and receiving business gifts varies between countries, regions, cultures, and religions, so definitions of what is acceptable and not acceptable will inevitably differ for each.

5.5 As good practice, gifts are given and received should always be disclosed to the compliance manager. Gifts from suppliers should always be disclosed.

5.6 The intention behind a gift being given/received should always be considered. If there is any uncertainty, the advice of the compliance manager should be sought.

5.7 Facilitation Payments and Kickbacks

dRi does not accept and will not make any form of facilitation payments of any nature. We recognise that facilitation payments are a form of bribery that involves expediting or facilitating the performance of a public official for a routine governmental action. We recognise that they tend to be made by low level officials with the intention of securing or speeding up the performance of a certain duty or action.

5.8 dRi does not allow kickbacks to be made or accepted. We recognise that kickbacks are typically made in exchange for a business favour or advantage.

5.9 dRi recognises that, despite our strict policy on facilitation payments and kickbacks, employees may face a situation where avoiding a facilitation payment or kickback may put their/their family’s personal security at risk. Under these circumstances, the following steps must be taken:

  1. Keep any amount to the minimum.
  2. Ask for a receipt, detailing the amount and reason for the payment.
  3. Create a record concerning the payment.
  4. Report this incident to your line manager.

5.10 Political Contributions

dRi will not make donations, whether in cash, kind, or by any other means, to support any political parties or candidates. We recognise this may be perceived as an attempt to gain an improper business advantage.

5.11 Charitable Contributions

dRi accepts the act of donating to charities – whether through services, knowledge, time, or direct financial contributions (cash or otherwise) – and agrees to disclose all charitable contributions it makes.

5.12 Employees must be careful to ensure that charitable contributions are not used to facilitate and conceal acts of bribery.

5.13 We will ensure that all charitable donations made are legal and ethical under locallaws and practices, and that donations are not offered/made without the approval of thecompliance manager.

  1. Employee Responsibilities

6.1 As an employee of dRi, you must ensure that you read, understand, and comply with the information contained within this policy, and with any training or other anti-bribery and corruption information you are given.

6.2 All employees and those under our control are equally responsible for the prevention, detection, and reporting of bribery and other forms of corruption. They are required to avoid any activities that could lead to, or imply, a breach of this anti-bribery policy.

6.3 If you have reason to believe or suspect that an instance of bribery or corruption has occurred or will occur in the future that breaches this policy, you must notify the compliance manager.

6.4 If any employee breaches this policy, they will face disciplinary action and could face dismissal for gross misconduct. dRi has the right to terminate a contractual relationship with an employee if they breach this anti-bribery policy.

  1. What happens if I need to raise a concern?

7.1 This section of the policy covers 3 areas:

  1. How to raise a concern.
  2. What to do if you are a victim of bribery or corruption.
  3. Protection.

7.2 How to raise a concern

If you suspect that there is an instance of bribery or corrupt activities occurring in relationto dRi, you are encouraged to raise your concerns at as early a stage as possible. If you’re uncertain about whether a certain action or behaviour can be considered bribery or corruption, you should speak to your immediate controlling authority/the compliance manager.

7.3 dRi will familiarise all employees with its whistleblowing procedures so employees can vocalise their concerns swiftly and confidentially.

7.4 What to do if you are a victim of bribery or corruption

You must tell your immediate controlling authority/compliance manager as soon as possible if you are offered a bribe by anyone if you are asked to make one if you suspect that you may be bribed or asked to make a bribe in the near future, or if you have reason to believe that you are a victim of another corrupt activity.

7.5 Protection

If you refuse to accept or offer a bribe or you report a concern relating to potential act(s) of bribery or corruption, dRi understands that you may feel worried about potential repercussions. dRi will support anyone who raises concerns in good faith under this policy, even if the investigation finds that they were mistaken.

7.6 dRi will ensure that no one suffers any detrimental treatment as a result of refusing to accept or offer a bribe or other corrupt activities or because they reported a concern relating to potential act(s) of bribery or corruption.

7.7 Detrimental treatment refers to dismissal, disciplinary action, treats, or unfavourable treatment in relation to the concern the individual raised.

7.8 If you have reason to believe you’ve been subjected to unjust treatment as a result of a concern or refusal to accept a bribe, you should inform your immediate controlling authority or the compliance manager immediately.

  1. Training and communication

8.1 dRi will provide training on this policy as part of the induction process for all new employees. Employees will also receive regular, relevant training on how to adhere to this policy, and will be asked annually to formally accept that they will comply with this policy.

8.2 dRi’s anti-bribery and corruption policy and zero-tolerance attitude will be clearly communicated to all suppliers, contractors, business partners, and any third-parties at the outset of business relations, and as appropriate thereafter.

8.3 dRi will provide relevant anti-bribery and corruption training to employees etc. where we feel their knowledge of how to comply with the Local Act needs to be enhanced. As a good practice, all organizations should provide their employees with anti-bribery training where there is a potential risk of facing bribery or corruption during work activities.

  1. Record keeping

9.1 dRi will keep detailed and accurate financial records and will have appropriate internal controls in place to act as evidence for all payments made. We will declare and keep a written record of the amount and reason for hospitality or gifts accepted and given, and understand that gifts and acts of hospitality are subject to managerial review.

  1. Monitoring and reviewing

10.1 dRi’s compliance manager is responsible for monitoring the effectiveness of this policy and will review the implementation of it on a regular basis. They will assess their suitability, adequacy, and effectiveness.

10.2 Internal control systems and procedures designed to prevent bribery and corruption are subject to regular audits to ensure that they are effective in practice.

10.3 Any need for improvements will be applied as soon as possible. Employees are encouraged to offer their feedback on this policy if they have any suggestions for how it may be improved. Feedback of this nature should be addressed to the compliance manager.

10.4 This policy does not form part of an employee’s contract of employment and dRi may amend it at any time so to improve its effectiveness at combatting bribery and corruption.

Development Research Initiative (dRi)

dRi Anti Money Laundering Policy

1.0       Company Policy

1.1       dRi has set out this anti-money laundering (AML) policy that is applicable to all staff to help prevent and detect potential money laundering or terrorist financing activity.  The dRi takes a zero-tolerance approach to money laundering, terrorist activity and other such financial crimes.

1.2     dRi will ensure it has appropriate policies and procedures in place to complement this  AML  policy,  in compliance with applicable regulations,  and monitoring of adherence to those policies will also take place.

1.3       All staff will be trained in AML processes and procedures for the Company and will actively participate in preventing the services of the  Company from being exploited by criminals and terrorists for money laundering or terrorist financing purposes. The objectives of this and related policies are:

  • ensuring that dRi’s compliance with all applicable laws, statutory instruments of regulation, and requirements of dRi’s supervisory body;
  • protecting dRi and its staff as individuals from the risks associated with breaches of the law, regulations and supervisory requirements;
  • preserving the good name of dRi against the risk of reputational damage presented by implication in money laundering and terrorist financing activities;
  • making a positive contribution to the fight against crime and terrorism

1.4       To achieve these objectives:

  • every member of staff shall meet their personal obligations as appropriate to their role and position at dRi.
  • neither commercial considerations nor a  sense of loyalty to clients shall be permitted to take precedence over dRi’s anti-money laundering commitment.
  • dRi shall appoint a Chief Anti Money Laundering Compliance Officer (CAMLCO) and s/he shall be afforded every assistance and cooperation by all members of staff in carrying out the duties of their appointment.
  • dRi shall have anti-money laundering policies and procedures outlining the positive actions to be taken by staff during their work, and the CAMLCO shall keep these under review to ensure their continuing appropriateness.

1.5       Failure to comply with the  AML  and associated policies could result in disciplinary proceedings which could ultimately lead to dismissal.

1.6       dRi staff will be required to review and understand their obligations in accordance with the local anti-money laundering law so that they can easily report any suspicious activities which set out examples of what may be suspicious and how to report the same to the dRi’s CAMLCO.

  2.0       Money Laundering & Terrorist Financing

2.1       Money Laundering is the process of disguising the origin of the proceeds of crime. Terrorist financing provides funds for terrorist activity. The use of products and services by money launderers and terrorists exposes the Company to significant criminal, regulatory, and reputational risk.

2.2       This policy is designed to provide direction to staff on the approach and management of Anti-Money Laundering (AML) and Counter-Terrorist Financing (CTF) within the Company. This policy supports management’s objective of mitigating the following risks:

  • Money laundering;
  • Terrorist financing;
  • Sanctions;
  • Politically exposed persons (PEPs);
  • Legal and regulatory risk.

2.3       This policy applies to all individuals working at all levels within dRi, including directors,   employees,   consultants,   contractors,  trainees, homeworkers,  part-time and fixed-term workers,  casual and agency staff,  all of whom are collectively referred to as ‘staff’ in this document.

2.4       dRi’s MLRO will provide direction to, and oversight of, the AML and CTF strategy as well as apply a risk-based approach across the organization.

2.5       dRi will enforce a strict anti-money laundering policy with zero tolerance for money laundering or terrorist financing activities and ensure it knows who its customers are and also who it is going into business with. Such activity is more commonly known as due diligence.

  3.0       AML Risk Assessment

3.1       The CAMLCO will assess the money laundering and terrorist risks presented by:

  • Customer risk-specific categories of customers and the resulting business relationships.
  • Payment risk – payment methods offered and the degree to which their specific characteristics are vulnerable to ML/TF threats.
  • Geographical risk – the risks posed by geographical factors.
  • Product risk – products offered and the degree to which their specific characteristics may be attractive for money laundering or financing terrorism.
  • Supplier / 3rd party Risk –risks of onboarding new clients/suppliers and not understanding who owns the business or considering other AML risks.
  • Technological Risk – risks with the technology used by the company/how susceptible is it to money laundering or terrorist financing?
  • Employee risk – the risks posed by employees of the company.
  • Regulatory Risk – the risks of non-compliance with license and regulatory frameworks and the risk of penalties to the company and individuals.

3.2       The CAMLCO will:

  • Design and implement controls to manage and mitigate those risks;
  • Monitor and seek to improve the operation of these controls; and
  • Record what has been done for audit and evidence purposes.

3.3       dRi recognises that risks change over time and will continually and regularly update its risk management procedures as part of its overall risk management framework.

  4.0       MLRO Role and Responsibilities

4.1       The Managing Director of dRi will be the Chief Anti Money Laundering Compliance (CAMLCO) as required by the Money Laundering Prevention Act in Bangladesh. The CAMLCO will have overall responsibility for the establishment and maintenance of the  Company’s  AML/CTF framework and underlying systems and controls and will report to the Chairman.

  • Confirmation that  all  business  records  have  been  properly stored  and are  retained according to regulatory requirements;
  • Changes in the law/operating environment which do or might impact the business;
  • Changes in the risk matrix affecting the business; and
  • Contacts with the regulator.

  5.0       Training

5.1       All employees will be made aware,   through the various annual compulsory training program related to anti-money laundering, terrorist financing, anti-money laundering risk, local law, and guidelines, etc.

  6.0       Suspicious Activity Reporting

6.1      As a registered organization, dRi need to comply with and has an obligation to report suspicious activity to the relevant financial intelligent authority in Bangladesh. Failure to act on or report suspicions where there are reasonable grounds to suspect criminality can be an offence under current legislation.

6.2       Staff are reminded of their obligations through training and refresher training and by following their obligations are helping dRi protect itself against the risk of money laundering and terrorist financing and helping it comply with its legal obligations.

6.3       All staff must report suspicions as soon as possible to the CAMLCO.  To be able to report, staff must have reasonable grounds to suspect that the activity or transaction may involve proceeds of crime and or relate to terrorist financing AND have followed procedures, gathered facts as much as possible and determined there are still reasonable grounds for suspicion.

  7.0     Record Keeping

7.1     The Company will principally retain the following records from an AML perspective:

  • Records of customer screening (PEPs & Sanctions);
  • Copies of, or references to, the evidence obtained of a client’s identity for five years after the end of the customer relationship;
  • Records of all AML/CTF training delivered;
  • Details of actions taken in respect of internal and external suspicion reports;
  • Details of information considered by the CAMLCO or his nominee in respect of an internal report where no external report is made.

DEVELOPMENT RESEARCH INITIATIVE (dRi)

OCCUPATIONAL/WORKPLACE HEALTH AND SAFETY POLICY

Date: 13.08.2015

dRi is committed to providing a healthy and safe work environment for its workers and preventing occupational illness and injury. To express that commitment, we issue the following policy on occupational/ Workplace health and safety. Our Occupational / Workplace Health and Safety Policy help us preserve the best possible work conditions for our employees. Every employee has the right to feel safe at work. dRi is committed to follow legal standards and create a hazard-free workplace.

This Occupational / Workplace Health and Safety Policy applies to all prospective and current employees of the dRi as well as volunteers, temporary/part-time workers, enumerators, contractors and consultants. This policy will apply at all locations.

As the employer, dRi is responsible for the health and safety of its workers.

dRi will make every effort to provide a healthy and safe work environment.

We are dedicated to the objective of eliminating the possibility of injury and illness.

As the CEO, I give you my personal promise to take all reasonable precautions to prevent harm to workers. All our employees/workers will be insured under a ‘Group Health Insurance Policy’ which should cover their hospitalization expenditures (if and when required). It will be the responsibility of dRi to ensure required treatment and if required hospitalization of any of our temporary/part-time workers.

Preventive Measures

We’ll take the following preventative measures:

  • When employees work in dangerous contexts or locations, we’ll make sure there are safety precautions.
  • We’ll hold employee training sessions in health & safety standards and procedures.
  • Employees who do repairs or cleaning need to put up caution signs and wear protective clothing like gloves and masks.
  • We’ll prohibit smoking indoors

Emergency Management

Emergency management refers to our plan to deal with sudden catastrophes like fire, flood, earthquake or explosion. These depend on human error or natural forces.

Our emergency management involves the following provisions:

  • Functional smoke alarms and sprinklers that are regularly inspected by the maintenance supervisor.
  • Technicians (external or internal) available to repair leakages, damages, and blackouts quickly.
  • Fire extinguishers and other fire protection equipment that are easily accessible.
  • An evacuation plan posted on the walls of each floor and online.
  • Fire escapes and safety exits are clearly indicated and safe.
  • Fully-stocked first-aid kits at convenient locations.

We’ll also schedule fire drills and emergency evacuations periodically. We will monitor the performance of health and safety procedures and will revise them to ensure higher level of protection.

Supervisors will be trained and held responsible for ensuring that the workers, under their supervision, follow this policy. They are accountable for ensuring that workers use safe work practices and receive training to protect their health and safety.

Supervisors also have general responsibility for ensuring the safety of equipment and facility.

The workers will be required to support this organization’s health and safety initiative and to co-operate with the occupational health and safety committee or representative and with others exercising authority under the applicable laws.

It is the duty of each worker to report to the supervisor or manager, as soon as possible, any hazardous conditions, injury, accident, or illness related to the workplace. Also, workers must protect their health and safety by complying with applicable Acts and Regulations and to follow policies, procedures, rules and instructions.

dRi will, where possible, eliminate hazards, and where there is a requirement, workers will be required to use safety equipment, clothing, devices, and materials for personal protection.

dRi will also consult experts or insurance representatives to ensure it complies with local and international standards.

Disciplinary Consequences

Every team leader is responsible for implementing this health and safety policy. Employees should follow health and safety instructions and will be held accountable when they don’t. We’ll take disciplinary action that may extend to termination when employees consistently disregard health and safety rules.

It’s everyone’s responsibility to contribute to a healthy and safe workplace.

dRi recognizes the worker’s duty to identify hazards and supports and encourages workers to play an active role in identifying hazards and to offer suggestions or ideas to improve the health and safety program.

Development Research Initiative (dRi)

dRi Safeguard Policy               

  1. Introduction

Development Research Initiative (dRi) is a leading independent consultancy, research, and evaluation center. dRi conducts dynamic research and analysis of a wide range of issues related to development, international aid, NGOs, markets, and the state. Since its inception in 2008, dRi has completed a wide array of research projects, building its reputation for generating high-quality evidence of what works in development practice. dRi’s researches are intellectually stimulating and effective for the development practitioners and policy reformers. Commitment to apply academic skills and creativity to real-world challenges is at the heart of dRi’s agenda.

dRi firmly believes that all children and adults regardless of age, gender, disability, or ethnic origin have a right to be protected from all forms of harassment, harm, abuse, neglect, and exploitation. dRi is dedicated not to tolerate any kind of abuse of children and adults at risk in any form both within and outside the organization who are related to the work of dRi.

  1. Policy Statement

dRi believes and recognize that there are unequal power dynamics across the organization, society, country, and also in the world. Therefore, sometimes people exploit their position of power for personal gain and while doing so they either consciously or unconsciously abuse vulnerable adults/ children. dRi is committed to support survivors and improve safeguard capacity for preventing sexual harassment, exploitation, and abuse.

This policy sets out dRi’s approach to safeguard the children and vulnerable adults from sexual harassment and exploitation, other abuse including physical, psychological, gender, race, disability, faith, any kind of discrimination, and so on.  Here children refer to any person under the age of 18. Any person aged 18 and over is adult. An adult may be vulnerable if s/he has physical disability, physical or mental illness, and unable to protect them from any major harm or exploitation. This policy is applicable to all the employees and related persons (partners, funders, clients, affiliate organizations, and beneficiaries).

This policy applies to all the dRi employees and related personnel, both during and outside normal working hours. If the following policy contravenes with local legislation, in that case, local legislation must be followed.

  1. Purpose

The aim of this policy is to ensure safeguards of children and vulnerable adults from any kind of abuse including sexual harassment and exploitation and neglect. This policy will demonstrate dRi’s commitment to safeguard the children and vulnerable adults. This policy and its accompanying implementation guidelines have been developed to provide a practical guide to prevent child abuse and to enhance children and vulnerable adults safeguarding within and outside dRi work. Through this policy dRi is committed to create an environment where concerns for the safety and wellbeing of a child and vulnerable adult can be ensured and managed in a fair and just manner.

The main purpose of this policy is to:

  • Ensuring the safety and wellbeing of children and vulnerable adults related to the work and activities of dRi.
  • Ensuring that all the employees of dRi are familiar with the policy and always abide by guidelines.
  • Ensuring a safe and secured working environment within and outside dRi both for its employees and other people related to the work of dRi.
  • Circulating the message among the partners, affiliations and donors that dRi shows zero tolerance to any kind of abuse towards children and adults and takes firm and reasonable actions to manage those for keeping them safe.

 

  1. Process and Procedures

dRi is committed to respond to all complaints and concerns of abuse. dRi’s safeguard committee is responsible for this work, and have specialist expertise in prevention, carrying out investigations, and delivering support to survivors of and victims of vulnerable adult abuse.

If anyone is a victim of any abuse s/he can directly or through focal person complain to the dRi’s safeguard committee. Moreover, if anyone witnesses any kind of abuse or potential suspicion of concern or finds a vulnerable adult at risk can also report to the dRi’s safeguard committee on behalf of the sufferer. The focal persons will be-

  • Team leader of each project
  • Department head
  • Field supervisor/team leader (at field)

If a children or vulnerable adult is at risk of imminent danger of abuse, then immediate protective action must be taken. While dealing with the complaint the first priority should always be the immediate safety and welfare of the sufferer.

There will be a safeguard committee in dRi consists of higher management as below:

  1. Chairman
  2. Managing Director
  3. Executive Director
  4. Research Fellow
  5. Focal Person

Always, the chairman will be the chair of this committee. This committee is responsible to resolve each complaint within one month from receiving. The committee will keep records of all the correspondence of each complaint. After resolving each complaint, the committee will issue a “complaint resolving letter” and based on which further actions will be taken by dRi administration.

 

  1. Roles and Responsibilities

It is the minimum responsibility of everyone to safeguard the children and vulnerable adults at risk and failure to act on concerns relating to those at risk is not an option. dRi expect that its employees and other people related to dRi work always prevent and act seriously for any kind of abuse against children and vulnerable adults.

The chairman of dRi ultimately holds overall accountability for this policy and its implementation and chairman will be the ultimate authority for resolving all the complaints.

All the employees of dRi and others related to the work of dRi are required to adhere to this policy and guidelines at all times. dRi employees are obliged to report any suspicions of abuse of children and vulnerable adults to the members of safeguard committee. Failure to report such relevant suspicion of abuse is a breach of dRi’s policy, and could lead to disciplinary action being taken.

The responsibility of focal persons will be immense, especially in the field. The will act as the media through whom any complaint will be reported or they also can report any suspicious concern they have witnessed, on their own.

All the members of safeguard committee under the guidance of chairman will be responsible to investigate all the complaints and take part in the complaint resolve process.

dRi safeguard committee will always encourage the employees to implement the policy effectively and efficiently and can offer further support to help the employees on implementing this Policy.

All the members of dRi safeguard committee are responsible for reviewing and updating this policy annually, and in line with legislative and organisational developments.

 

  1. Complaint Raising & Resolving

Anyone (including dRi’s employee, partners, funders, clients, affiliate organizations, and beneficiaries) can raise a concern or make a complaint to the dRi safeguard committee about something they have experienced or witnessed without fear of retribution. They can do this verbally or in writing, email, or any kind of media. If any kind of such situation raise in the field, then anyone can complain directly to the dRi safeguard committee or through the team leader of that project. Employees can also choose to raise concerns either directly to the dRi safeguard committee or through their immediate controlling authority or team leader.

Secrecy of the complaints raised to the dRi safeguard committee will be maintained very strictly by the dRi authority. Even though, if anyone wishes, complaints can be made anonymously. dRi safeguard committee will take every necessary actions to maintain confidentiality of the complaints throughout the process and procedures. Also, information that identifies individual/s involved in a complaint will be limited to key personnel and will not be shared further without obtaining the consent of those involved, except if someone’s life is at risk and where safe to do so. Any kind of other information relating to the complaint process will also be treated as classified information of dRi.

If any employee of dRi involved in the complaints process, s/he will be made aware of the importance of maintaining confidentiality of this process and if require, s/he may be asked to sign a letter mentioning about keeping the confidentiality of that process. Employees who will breach the confidentiality may be subject to disciplinary action up to and including termination of employment. Other individuals or organizations who work with dRi may have their relationship with dRi terminated if they breach the confidentiality. Also, if require they may be asked to sign a confidentiality agreement.

  1. Conclusion

It is very difficult to set criteria for vulnerability and abuse. dRi is always committed to extend its’ hands for the sufferers and those at risk related to its’ work. In the same way, dRi expects that its’ employees and related persons will always act seriously to safeguard the children and vulnerable adults against all kinds of abuse and project them from any potential risks.

Development Research Initiative (dRi)

dRiWhistle Blowing Policy

  1. Introduction:

Whistleblowing is the freedom to speak up. The act of whistleblowing is, metaphorically speaking, blowing a whistle to call somebody out on something or to bring attention to a potentially harmful situation in the workplace.Without proper procedures in place for employees to report workplace crimes and misdemeanors, dark stuff can build up.

When a member of staff is suspected of misconduct, whistleblowing is the reporting of said employee to the necessary person or department. If an employee notices something wrong or unusual taking place within the workplace environment, whistleblowing is the act of reporting the incident or concern. A worker/an employee should be guaranteed confidentiality when imparting his/her information.  The issue can be past, present or premonitory. However, it should be noted that the concern raised must be in the public interest.

  1. Purpose of whistleblowing:

Whistleblowing is less about ringing the fire alarm and more about confidentiality. The purpose of this policy is to encourage employees to feel they can come forward about someone or something they feel concerned about, without the risk of being publicly exposed.

In this way, whistleblowing is supposed to protect against victimisation and harassment. dRi Whistleblowing policy ensures that dRi is committed to assist individuals who believe they have discovered malpractice in the workplace, allowing them to speak up without fear of reprisal.

  1. Circumstances that might necessitate whistleblowing: 
  • A criminal offense
  • A miscarriage of justice
  • That someone may be covering something up
  • A potential risk to the working environment
  • A potential risk to someone’s health
  • A concern that someone may be in danger

Whistleblowers would be treated fairly regardless of who or what they are blowing the whistle on. At dRi all concerns reported must be treated with the same respect, sensitivity and confidentiality.

  1. Process & Procedures: 

There will be a safeguard committee in dRi consists of higher management as below:

  1. Managing Director
  2. Executive Director
  3. Research Fellow

The Managing Director of dRi will receive any complain from the employees, discuss the issue with the committee members and investigate complains as required. Finally, the committee will sit together and come to a decision about the issue and that is final.

  • The first stage is the receipt of the complaint.
  • In the second stage, the complaint is discussed with the committee members. Provided the complaint is serious enough, an investigation would then take place.This would involve an analysis of who reported the incident, who was involved in the incident, and what the root cause of the incident was. During the investigation, full details of the complaint must be acquired and clarified.
  • In the final stage, the committee will sit together and make final decision and do accordingly.

Other issues to be dealt with might include whether the incident is recurring or has only occurred on a single occasion, if anyone was physically or mentally harmed, if there was a financial loss, and whether there will be long-term or short-term effects.

If the investigation is prolonged because of a lack of information or other delay, the complainant must be kept informed in writing.

The whistleblower has a responsibility to make sure their information is as accurate as possible. If the individual is suspected of making malicious or untrue allegations against someone, necessary disciplinary action will be taken. Any suspicion of false allegations must also be investigated thoroughly. Therefore, whistleblowers must be absolutely certain of the claim that they are making. Allegations can be life-changing and have drastic consequences on both the individual accused and the accuser, especially if the allegation is false.

Meanwhile, if the complainant feels that his/her concern is not being dealt with properly, s/he maintains the right to raise the issue again with the Chairman.

  1. Conclusion:

No employee should be left unheard, regardless of whether they think their problem is extreme or minor.Whatever the case, all employees should be taken seriously by the dRi administration, and all matters should be looked into properly. This policy contributes to developing a culture that is open and receptive to listening to staff.

Protocol

for

Work from Home (WFH) based

Computer Assisted Telephone Survey (CATI)

 

Developed by

 

 

 

Development Research Initiative (dRi)

House -8/7, Road no-01,

Block-D, Section- 15, Kafrul

Dhaka-1216, Bangladesh

Phone and fax: +88-02-9030828

Mob: 01713504255

E-mail: contact@dri-int.org, developmentr.initiative@gmail.com

 

 

Contents

1       Introduction. 1

2       Changes in Survey Tools: 1

3       Preparation. 1

3.1       Selecting Survey Staff 1

3.2       Equipment 1

3.3       Payment System… 1

3.4       CATI Questionnaire Development 2

3.4.1        Preloaded information: 2

3.4.2        Call attempt roster 2

3.4.3        Questionnaire Content 2

3.4.4        Consent 2

3.5       Training and Recruitment: 2

4       Survey Implementation. 3

4.1       Data Collection Process: 3

4.2       Assignment Creation and Distribution. 3

4.3       Survey Setup: 3

4.4       Survey Monitoring and Data Quality Control: 3

4.4.1        Survey workflow.. 4

5       Data Security: 5

1          Introduction

Computer Assisted Telephone Interviewing (CATI) is an interviewing mode in which an electronic device (computer/tablet/mobile) displays questions on its screen, the interviewer reads them to a respondent over a phone call, and enters the respondent’s answers directly into the electronic device.

CATI typically involves setting up of call centers from where enumerators/interviewers make phone calls to respondents. Keeping in mind the current advisories on managing the spread of COVID 19, it is not possible to set up such call center. Instead of that it is better to explore the feasibility of Work from Home based CATI (WFH – CATI), – a setup where enumerators/interviewers are working from home to conduct telephonic interviews with respondents.

But such data collection plan needs to address several challenges. dRi will try to implement some methods in data collection to address the challenges and reduce the gaps.

2          Changes in Survey Tools:

  • Carefully evaluate which questions or sections of tools cannot be implemented remotely (sections involving physical activities, visual verification, anthropometrics, GPS coordinates etc.)
  • Assess the translations to ensure it suits well for telephonic conversation.
  • Revise the questions and sections as needed, if changes are made based on the points above.
  • Revise the consent and instructions for enumerators in the tool to adapt to a phone interview.

3          Preparation

3.1        Selecting Survey Staff

Given the survey’s mode of data collection and unique operational context, survey staff will be chosen using two sets of criteria-

  • Skills- Past Experience in conducting CAPI or/and CATI, Local Language Skill
  • Access to required support and infrastructure (Electricity, Phone & Internet Coverage etc.)

3.2        Equipment

To perform their job, each survey staffer needs equipment to conduct interviews, capture data, and connect with respondents and their team. dRi will ensure that every member of survey team have necessary equipment-

  • Conducting Interview- Phone and Headset
  • Capturing Data- Tablet, Power source
  • Connecting- Mobile airtime and internet

3.3        Payment System

For survey operations to work, payment systems are needed to pay:

  • Interviewer salary. To continue working, interviewers need to be paid regularly. Payments will be done through mobile banking (e.g. bKash, Nagad etc.) or Bank Payment as preferred by individual.
  • Interviewer airtime: To place calls, interviewers need airtime. Airtime will be purchased by assigned dRi finance officer for the number given by interviewers.
  • Respondent rewards: Regarding participant reward, money will be given as mobile talk time recharge or bKash payment as preferred by the respondent.
    • Money will be sent using bKash mobile money transaction application. As bKash send a confirmation message to sender, dRi will send the Screenshot of the transaction confirmation to the client as proof of payment.
    • A register will be maintained documenting all transaction.

3.4        CATI Questionnaire Development

To operate as a mobile panel survey, the questionnaire will have three components: 1. Preloaded information, 2. Call attempt roaster and 3. Questionnaire content

3.4.1        Preloaded information:

  • Household identifiers
  • Household roster
  • Phone number

3.4.2        Call attempt roster

  • When the contact attempt was made. This will be the date and time of the call.
  • Which number was dialed. This will draw from previously known contacts as well as contacts discovered during earlier phone contact attempts.
  • Whether anyone answered the phone. This will be a yes/no question.
  • Why no one answered. Answers will include: no answer, invalid number, phone turned off/unreachable.
  • Who answered. Answers will be drawn from the household roster.
  • Outcome of the attempt. Answers will include: answered and available, answered but unavailable, no answer, wrong/invalid number, refused, etc. If a refusal, why refused.
  • When to call back. Through several questions, the interviewer will record when to contact the household next.
  • This text question will provide the interviewer to record any other useful information to facilitate the scheduling or conduct of future contact attempts (e.g., preferred number or contact times).

3.4.3        Questionnaire Content

  • Simple questions and answer options. For respondents to understand, questions need to be simple and direct. For interviewers to correctly code answers, response options need to be clear and concise.
  • Available in local languages. The interviewer will have clear guidance to ask questions in the language of the respondent. Where possible, this will be local language translations such that one can toggle between translations as needed. Where not possible, efforts should still be made to translate key terms of the questions where field translation easy for interviewers (e.g., social distancing). CATI software, including Survey Solution, allows for the questionnaire to be translated into several languages, and for the interview to switch between languages as needed.
  • Scripted introductions and scripted protocols will be developed.

3.4.4        Consent

Verbal consent will be collected and recorded as mandatory.

3.5        Training and Recruitment:

Training of enumerators and other staff will be done remotely using online conference platform such as Webex, Zoom, Google Meet erc. keeping in mind the social distancing advisory.

  • Train the enumerators on the tools, protocols, new data collection process, technical knowledge on devices.
  • Will try to be done the training of enumerators and other staff remotely, keeping in mind the social distancing advisory.

4          Survey Implementation

4.1        Data Collection Process:

  • Enumerators will work from home.
  • Will try to collect multiple contact numbers and personal information for each respondent (e.g. own phone number, family member number, a neighbor’s number)
  • Will call each respondent before interviewing to identify right respondent, confirm the numbers and take appointment.
  • Identify all the risks associated with interviewing a wrong respondent and create an action plan to address such situations
  • Identify response time and create protocol for how many attempts of calling will made in how many phases to reach the respondent.
  • Create a calling protocol to guide the enumerators for the interview.
  • Measure the interview participation rate and keep enough replacement sample by calculating the rate.

4.2        Assignment Creation and Distribution

Two Quality control officer will be assigned to ensure quality data collection. The enumerators will be divided into two team and a QCO will be responsible for each team. Survey Coordinator will distribute the survey as assignment to each enumerator through QCOs.

After each call attempt, the interviewer will record-

  • When the attempt was made
  • What number was called
  • What was the outcome
  • Who answered
  • Whether the call was rescheduled, and if so when
  • Other relevant notes

4.3        Survey Setup:

  • Will prepare digital version of the questionnaire (ODK, SurveyCTO)
  • Provide two devices to each enumerator, one for phone call and another for input responses in the tool.
  • Will provide SIM card for phone call and internet connection for getting real time data.
  • Pilot updated instruments thoroughly to measures suitability and assess the needed time duration for each interview.

4.4        Survey Monitoring and Data Quality Control:

  • Supervisor or Quality Control Officer will contact the enumerators frequently on data collection period to getting update and identify the difficulties. Usually a team of enumerator is put under a Supervisor and Quality Control Officer. They are responsible to maintain the quality of data collected by the enumerators under their supervision.
  • dRi will prepare a tracking sheet (Google Sheet or Online Microsoft Excel) and share it with the enumerators, which will be updated daily.
  • Assess the needs of data quality control and involve enough quality control officers.
  • Enumerators will send each day’s data to the server after conducting the server, and data will be exported every day and shared with the quality control team.
  • dRi requires an audio recording clip of the interview as mandatory from the enumerators (a portion of the total interview), specially the consent as a verification method and quality control mechanism with exception only if the respondent doesn’t consent to record.
  • Enumerators productivity and efficiency will be assessed by the dRi data management team regularly.
  • Quality Control Team will crosscheck at least 10% the data by calling again and asking few questions the respondent randomly as a verification method of the data.

4.4.1        Survey workflow

As mentioned above, all progress of the survey will be tracked and observed-

Figure 4.1: Sample excel sheet to track overall daily progress

Figure 4.2: Sample excel sheet to record enumerators daily progress

5          Data Security:

  • dRi will ensure that all devices used for data collection are password protected.
  • Train enumerators on the data encryption methods (e.g. if record audio, then need to ensure the storage and transfer are encrypted.)
  • dRi uses purchased space of Google Cloud Service to store collected survey data online which can be accessed from anywhere in the World.
  • Data is uploaded in real time basis and it reduces the chance to loss an interview from Tablets (caused by any unforeseen technical error).
  • dRi’s data management team download data everyday to check the quality. Also, they store data in multiple hard disk to avoid any potential loss of data (caused by any unforeseen technical error).
  • As the data contain personal information of the respondents, ensuring its security is paramount. Also, only selected authorized personals can access those data. If client requires, dRi deletes all backup of data in their possession after the completion of the assignment.