+88 01713504255 contact@dri-int.org

dRi Policy and Protocols

 

Welcome to Our dRi Policy and Protocols

1. dRi Anti Bribery & Anti Corruption Policy

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.

2. dRi Anti money laundering policy

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.

3. dRi Health & Safety policy

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.

4. dRi Safeguard Policy

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.

5. dRi Whistle Blowing Policy

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.

6. Protocol for CATI_dRi

 

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.

7. dRi Accounting and Finance Policy

Accounting & Finance Policy

Development Research Initiative (dRi)

 

 

Contents

1.0   INTRODUCTION… 1

2.0   ACCOUNTING PRINCIPLES AND POLICIES.. 2

3.0   DELEGATION OF AUTHORITY.. 6

4.0   FINANCIAL SYSTEM… 6

5.0   CASH AND BANK MANAGEMENT.. 12

6.0   FUND MANAGEMENT.. 13

7.0   ADVANCE MANAGEMENT.. 14

8.0   PAYROLL MANAGEMENT.. 15

9.0   PROCESS OF BILL PAYMENTS.. 17

10.0 PAYMENT.. 17

11.0   REVENUE STAMP FIXING.. 17

12.0 DEDUCTION OF TAX AND VAT.. 18

13.0 RETURN SUBMISSION AND TAX ASSESSMENT.. 18

14.0 BUDGET & BUDGETARY CONTROL.. 18

15.0 REPORTING.. 20

16.0 AUDITING.. 21

 

1.0   INTRODUCTION

 

The Accounting Manual is an explicit description of the financial and accounting function, related system and procedures of DRI. The manual introduces an accounting system bringing together the best practices of practical accounts keeping within the existing operating and control environment. This manual is the essence of a sound financial management and effective accounting administration of DRI. The intent of this manual is to provide written guidelines to all concerned with a view to facilitate proper financial control on overall operational activities of the organization. It is endeavoured that this manual will be great assistance in fulfilling the requirements of the financial disciplines and bringing uniformity and cohesion in different areas of the financial management. The purpose of this manual is to improve DRI’s financial management system, basic financial and accounting requirements and to ensure better degree of financial control, transparency and accountability in the day-to-day DRI operations.

 

  • Purpose of the Manual

This manual is intended to serve the following purposes:

  • Accumulate a summary of accounting and related procedures for reference purpose; to ensure transparency, accountability and good governance in the management of DRI activities and programs.
  • Ventilate existing Financial Management systems and procedures to the Management and other users to come.
  • Establish accounting policies and procedures that will contribute to preparation of effective, efficient, clear and transparent accounts.
  • Standardize and codify the accounting system, rules, procedures and forms to be used for financial recording and reporting.
  • Describe the systems and procedures that will direct the finance personnel and help them to fulfill their accountability.

 

  • Objectives of the Manual

To maintain a uniform recording, reporting and financial control system a well-defined Financial Manual is must. Therefore, the objectives of this Manual are:

  • To have a uniform accounting and financial system, rules and procedures.
  • To assist management with the necessary financial information required to ensure efficient program monitoring and implementation.
  • To achieve accurate and timely financial reporting to the management of DRI as well as to the donors.
  • To aid understanding and utilization of the accounting systems and processing of accounting transactions.
  • To develop consistency within the DRI systems in the application of accounting system and procedure under approved Chart of Accounts.

 

  • Commencement

This manual is effective from 01 January 2016 and shall apply without exception to all financial transactions undertaken in the name of DRI.

2.0   ACCOUNTING PRINCIPLES AND POLICIES

 

  • Basis of Accounting

The Financial Statements of DRI is prepared on a going concern basis under the historical cost convention using the accrual basis of accounting in accordance with the International Accounting Standards (IASs) and International Financial Reporting Standards (IFRS) as adopted in Bangladesh in the Bangladesh Account Standards 16 (BAS 16) and in compliance with the applicable laws and regulations of Bangladesh. However, sometimes project financial statements are prepared in accordance with Donor guideline and NGO Affairs Bureau requirements.

 

  • Accounting Period

The Accounting Year of DRI are from July to June. Both Annual Budget and Financial Statements are prepared according to the accounting year. But the Bilateral project financial year vary according to the project agreement.

 

  • Recognition of Fixed Assets

Fixed assets refer to property, plant and equipment as mentioned in the Bangladesh Account Standards 16 (BAS 16).  DRI acquires fixed assets in following three manners:

  • Purchased fixed assets
  • Donated fixed assets

 

  1. Purchased Fixed Assets

When property, plant and equipment is purchased by DRI, it is recognized as fixed asset and capitalized if the following two conditions are satisfied:

 

  • Minimum value for capitalization of a fixed asset shall be Taka 3,000 Purchase value of any asset less than Taka 3,000 shall be charged as revenue expenditure.
  • Expected useful life of the will be more than 1 year.
  • Repairs and maintenance, which extend significantly the useful life of assets or addition in existing assets, will not be considered as fixed assets.

 

  1. Donated Fixed Assets

Donated or grant funded fixed assets such as building, furniture & fixtures or other equipment are recognized as Fund or Capital. Donated land is to be recognized at fair value. In case of Bilateral project, at the close off of the projects the donated fixed will be adjusted in book value with the organization’s asset.

 

  • Depreciation policy
  • Full year’s depreciation is charged on fixed assets at any point of time in the year of acquisition.
  • DRI depreciates all its fixed assets on Reducing balance method duly considering the estimated useful life of such assets.
  • Full year’s depreciation is computed on assets purchased during first half of the year, while half year’s depreciation in computed on assets purchased during the second half. Such depreciation is netted off with fixed assets acquisition fund.
  • No depreciation is to be charged in the year of disposal or in the year of written off of any fixed assets.

 

 

  • Rates of Depreciation

DRI deprecates property, plant and equipment at following rates:

 

Name of Fixed Assets Depreciation rate (%)

Land

Buildings

Vehicle

Furniture and Fixture

Computer & Office Equipment

Air Conditioner

 –

2

10

10

20

20

 

 

The depreciation method should be reviewed at least annually and, if the pattern of consumption of benefits has changed, the depreciation method should be changed prospectively as a change in estimate under IAS 8.

 

  • Inventory

The inventory of stores is valued at cost based on the physical count of all inventory held at the year-end.

 

  • Income Recognition

There are three main sources of income of DRI.

  • Grant income,
  • Income from Consultancy services, service fees and
  • Other income
  1. Grant income

Government grants and Donation or grant from foreign agencies/individuals is to be recognized as grant income as per BAS 20 only when there is a reasonable assurance that both

  • DRI will comply with the condition attaching to the grant; and
  • The grant(s) will be received.

 

 

  1. Income from rendering of consultancy services

Revenue from consultancy services, other fees, and rendering of services can be recognized if the final outcome can be reliably estimated, economic benefits will flow to the seller, stages of completion at the balance sheet date can be measured reliably and costs incurred or to be incurred, in respect of the transaction measured reliably.

 

  1. Other income

Other income of DRI comprises of income from bank interest, interest on investment and other miscellaneous income. Other income is to be recognized when economic benefits will flow to the enterprise and the amount of revenue can be measured reliably.

 

  • Expenditure

Any payment or obligation for payment for a particular year shall be recognized as expenditure in that year. Expenditure accrued or incurred but not paid shall also be considered as expenditure in the year it was actually committed. Any bank interest charged against loans is treated as revenue expenditure.  Any assets received for acquisition of capital assets, construction of building, facilities and major renovation of the DRI office and other center offices is to be considered as capital expenditure.

 

  • Common cost recovery

Common cost of DRI comprises of finance and admin cost, utility expenses and other overhead costs. Common cost is recovered from different centers on the basis of the number of the staffs or use of space.

 

  • Fund Account

General fund is an unrestricted fund of the organization. The surplus/deficit for the year is presented as a part of ‘General Fund’ in the Balance Sheet.

 

 

3.0   DELEGATION OF AUTHORITY

All funds transfer will be approved by Executive Director. Department Head/ Manager/ Sr. officers will exercise their delegated authority as followers:

 

 

  • Transaction Approval Authority Limit

DRI’s expenditure authorization is delegated to the management – Executive Director/ Department Head/ Manager/ Sr. officers.

 

Designation Amount (in Taka)
Department Head/ Manager/ Sr. officers.  1.00 -5,000
Executive Director 5001- 200,000
Chairman/Managing Director 200,001 and above

 

Every bill will be signed and checked by Director- Finance or his/her delegated authority:

  • Manager – Administration, Finance,

 

  • Cheque Signatory
Designation Amount (in Taka) Signatories
1. Mother account Any amount Chairman & Executive Director jointly
2. Program Operation Any amount Chairman & Executive Director jointly
3. DRI Running Cost Any amount Chairman & Executive Director jointly

 

4.0   FINANCIAL SYSTEM

Financial system refers to the processes and procedures used by an organization’s management to exercise financial control and accountability. These measures include recording, verification and timely reporting of transactions that affect revenues, expenditures, assets and liabilities.

DRI has established a well-defined financial system where at every stage segregation of duties and responsibilities are well defined to each and every responsible person. An effective internal control system is also developed within the organization which helps to achieve the financial control of the organization.

 

 

  • Accounting Software

The computerized accounting system Introduced by DRI, which is customized developed by a software developer. The Software provides Income and Expenditure Statements, Balance Sheet and Cash flow statement.

 

  • Chart of Accounts

Chart of accounts is a list of all accounts by categorization as well as by code number under which the DRI’ transaction is recorded. The formal classification of accounts such as assets, liabilities, revenue and expenditure are given in the ‘chart of accounts. A sample of Chart of Accounts is given in Annex – 1.

 

  • Maintenance of Chart of Accounts

Accounts Manager / Accounts officer shall maintain the Chart of Accounts. Insertion/deletion of any code under the existing structure shall be his jurisdiction. The Chart of Accounts has the flexibility to add new account code on need basis in accordance with the basic structure. Director-Finance & Accounts can revise and modify the Chart of Account.

 

  • Recording system

The whole recording system comprises of two stages. First preliminary recording which refers to voucher processing and permanent recording that is make permanent entry posting in the software system.

 

  • Voucher processing

Voucher is the basic record for financial transaction. DRI maintains the following vouchers with adequate and proper supporting:

  • Debit Voucher,
  • Credit Voucher,
  • Journal vouchers and
  • Contra Vouchers

 

  1. Debit Voucher

Debit Voucher is generated against any sort transaction related to cash/cheque payment or expenditure incurred.

 

  1. Credit Voucher

Credit Voucher is generated against any sort transaction related to cash or cheque receipt or revenue incurred.

 

  1. Journal vouchers (JV)

JV is prepared for non-cash transactions such as for expenditure provision, for current account adjustment, Advance adjustment and for Inter-project transactions, and for other non-cash transactions.

 

  1. d) Contra Voucher

Contra Voucher is generated against any sort of transactions related to cash withdrawn from bank and cash deposit to bank.

 

  • Check list of bill / Invoice/ voucher

Every bill/invoice/ voucher should attach with the following documents.

All kind of bills must be men tioned with signature Purchased by, submitted by, received by, checked by, recommended by and approved by what are applicable.

 

Staff Salary Payment:

  • Name of Staff and designation
  • Employment letter and code number
  • Posting Place (Location / Department)
  • Date of Joining (for new staff)
  • Terms of reference / Contract paper for contractual staff
  • Name of Cost Center / Project
  • Attendance register / sheet
  • Affixation of revenue stamp (on direct payment)
  • Acknowledgement of receiver
  • Salary sheet approval from competent authority
  • Budget Allocation
  • Memo from authority (if any action)
  • PF Contribution deduct for PF member only
  • Any other deductions (Income Tax, outstanding balance)

 

Materials purchase bill:

  • Bill / Invoice / cash memo (should be prescribe form and number)
  • Budget allocation (core / Bilateral project)
  • Approved MRF (Materials requisition form) with date
  • Quotations (sealed / Spot) as per procurement policy
  • Comparative statement was done
  • Resolution of purchase committee for bulk purchase
  • Supply order issued to supplier
  • Materials received note (MRN)/ Challan with date
  • Vat & Tax deducted as per Govt. Rules
  • Bill / Invoice / cash memo approval from the authority
  • Affixation of revenue stamp (above Tk. 500)
  • Account payee cheque to be issued (Except some special case)

 

Training bill:

  • Participant list with signature
  • Training duration of training courses
  • Budget allocation
  • Bill / Invoice as Food, accommodation, Trainer’s honorarium. TA of Trainees, Materials dispatch, Training room rent OHP use rent etc.
  • Training Schedule from respective authority
  • Field Visit Bill
  • Bill to be approved by the concerned authority

 

Fixed assets Purchase:

  • At first Budget checking Core / BLT & RF Approval of Respective authority
  • Quotation invited (seal / spot) making a comparative statement supply order given by Purchase Committee Chairman
  • Earnest money (EM) deposit from the lowest bidder to the bank and refunded EM after the satisfactory received the materials
  • Identity Number of Fixed assets
  • Fixed assets register kept date, Item of Fixed assets, Quantity Amount ID Number Location Name of Donor Purchase from whom (Supplier name) etc.
  • Bill approved by the respective authority
  • Storage by Store Keeper (MRN / Challan Copy enclosed)
  • VAT & Tax deduction (if applicable) & deposit to Bank.

 

Workshop / Meeting:

  • Notice served by respective authority
  • Time & date Location of Meeting specify
  • Participant name of Designation
  • Signature of Attendance Participant
  • Materials supplies dispatch
  • Food / TA / Honorarium Bill / Invoice for meeting participant with signature
  • Agenda of Meeting / Workshop etc.

 

Field Visit / Tour:

  • Tour Diary must be attached
  • Tour plan must be approved by authority
  • TA DA bill written duration & name and designation
  • Bill amount written mathematical & in word
  • Bill / Invoice Approval by approving authority
  • Particulars (Rickshaw / Boat / Bus / Train / Tempo / Microbus etc) details
  • Enclosed by ticket (bus / train etc.) if any
  • Accommodation bill / Food bill to be enclosed (if excess from his entitlement)

 

Service Contract Selection Procedure:

  • Preparation of ToR
  • Circulate among relevant organization / Individual
  • Pre bid session
  • Comparative statement, selection & approval with proper justifications
  • Work order issue
  • Report in due time and approved by Management
  • Bill / Invoice
  • Report Copy
  • Biding documents
  • Purchase requisition

 

  • Maintenance of Manual Register

Register maintained for recording financial transactions is most important which are treated as documentary evidence of financial transactions. The following manual registers are to be maintained properly by the responsible delegated person:

  • Movement Register
  • Attendance Register
  • Cheque Issuing Registers
  • Log Book

 

  • General checklist
  • Any financial transaction should not be recorded without supporting (corroborative) documents.
  • All bills and vouchers shall be kept chronologically
  • All transactions should be approved by the authorized official before recording.
  • Transactions are to be recorded in the computer system on daily basis.
  • Any mistake in transaction recording should be rectified immediately.
  • Follow up of the outstanding matters.
  • Keep vouchers, documents and records properly in a sequential manner and safely.
  • Only authorized person shall have access to those documents/ vouchers.

 

  • Preservation of Accounts Documents

Documents such as Vouchers/supporting/books etc are being preserved at least for 6 (six) years or for such periods as required by donors.

 

5.0   CASH AND BANK MANAGEMENT

  • Cash Management

Cash should be handled by the cashier. Daily cash transaction at each Center should be closed at 4.00 p.m. (except for emergency) on all working days. Any cash receipt, small or large, should be deposited to the bank on the same/next working day. Cash should be kept in a strong locker. One / two key (s) of the locker will be kept by cashier and the other should be kept by the Sr. Accounts officer/authorized staff so that both the personnel could open the locker.

Daily cash closing balance should be counted by the cashier and checked by SAOr/In-charges.  The daily cash balance (closing) statement / sheet and cash book should be counter signed by Sr. Accounts officer / Accountant or the staff in charge. There should be a surprise check of cash balance. Cash-in-Safe and Cash-in-Transit should have adequate (fire, conflagration & burglary) insurance coverage.

For immediate action/repair etc. due to emergency situation and if not already in cash limit, Executive Director can spend up to Tk.20,000/- for unforeseen expenses related to his/her project.

 

All the cash/cheque receipt of the center will be deposited in the center account. Acknowledgement should be issued on receiving cash /cheque/draft receipt. Cash receipt from staff and third parties who pays cash/cheque/bank draft to Project/Sector/Head Office i.e. refund of advance from staff/parties, sale proceeds, local contributions against schemes etc should be received through a cash receipt acknowledgement.

 

  • Bank Management

All monies and funds of the Trust shall be kept deposited Bank accounts. Bank account is to be opened with the approval of the Board and shall operate as per close no. 3.2.

 

  • Cheque payment

Cheque payment should be made by crossed cheque. Payment exceeding Tk.10,000 (Ten thousand) shall be paid by Accounts Payee Cheque except in case of any payment below Tk. 10,000 (Ten thousand).

 

  • Bank Reconciliation Statement

Bank Reconciliation Statement is prepared at regular intervals that are on monthly basis to reconcile the difference arising between the balance in the bank book and that appearing in the bank statement at a particular date. This normally represents cheques issued but not presented to the bank for encashment by the payee.

Cheques not presented to the bank for encashment within six months from date of issue becomes time barred by operation of law and these will have to be taken back into the books

Differences in the two balances may also occur due to debits or credits made by the bank on various account, such as interest, other charges, remittances, etc. and these have to be accordingly dealt with by means of vouchers for proper reflection in the books of account.

 

6.0   FUND MANAGEMENT

  • NGO Affairs Bureau (NGOAB) Approval

Implementation of a project depends on the Donors’ commitment and NGO Affairs Bureau’s approval. After getting letter of intent from donor, FD-6 or FC-1 is prepared and submitted to the NGO Affairs Bureau for approval. No foreign donation can be received without NGOAB approval.

 

  • Types of fund

DRI currently has the following types of fund:

 

Name of funds Source of fund

 

1.      Programme

2.     Project fund

3.     General Fund

4.     Facilities Development Fund

 

Core Donor

Bilateral Project Donors

Own Sources / Local Donor

DRI own sources

 

Project Fund will be maintained as per agreement with the donors and other funds including core fund will be maintained as per delegation of authority.

 

  • Cash flow projections

Ensuing timely availability of required fund for financing program activities is one of the prime responsibilities of Finance Section. To do so the following two cash flow projections are prepared:

  • Annual Cash Flow
  • Rolling six-month projection

The “Annual Cash Flow “is part of the budget process. The “Rolling Projection” is purely a fund management tool and is to be updated every month. The format of the projection is given below:

 

Description Month Month Month Month Month
Balance brought forward
Income received through Core Donor
Income received locally
Expenditures
Balance carried forward

 

7.0   ADVANCE MANAGEMENT

 

  • Type of Advances

 

  1. Personal Salary Advance

The Accounts Office/Section is not eligible to allow personal/salary advance to any staff, unless the advance is approved by Executive Director.

 

  1. Programme Advance

Program (work) advances are provided for travel and per diem expenses and for small procurement and works/ schemes. The reason of providing program advances is to execute the job in time. Program advance should be requested in advance request form. Executive Director, Director- Finance & accounts approve the program advance on the recommendation of the Department/Project Head.  New advance should not be provided if there is old unsettled advance; if it is absolutely necessary to provide advance, reason should be mentioned in the Advance Request Form; in such case advance should be approved certain condition only i.e., only advance should be settled within 7 days.

 

  • Other Advance

For urgent procurement of bilateral/partnership project/IGA, Petty Cash disbursement /advance may be made any amount and settlement of advance to be made within fifteen days of procurement.

 

 

  • Advance Settlement

Program advance should be settled within 15 days but compulsorily before end of month. If advance is not adjusted within the month, reasons should be stated clearly and that should be approved by competent authority. The balance of unsettled advance should be refunded and deposited to the Accounts Office. Unsettled advance should not be used by the employees for his personal purposes. If the employee has left the service without settlement of advance, then advance should be settled from any other payable balance. If an advance is fully or partly refunded, an explanation for non-utilization is to be given countersigned by the approving authority.

 

8.0   PAYROLL MANAGEMENT

 

Sr. Accounts officer/ Accounts officer /Accountant must verify the appointment letter/contract/ special order/authorization and individual increment letter along with accepted joining letter before making any payment in respect of payroll/salary. He/she checks the followings:

 

  • Amount stated in the letter (for transfer) to the bank and the amount in the salary statement is same before sending the transfer letter to the bank.
  • All the deductions have duly been deducted in the salary statements such as income tax leave without pay, lease purchase.
  • Amount so deducted against income tax is duly deposited to the Treasury.
  • Income tax deduction account balance should be zero at the year end.
  • Bank account number of respective staff/departments before making any payment of payroll/salary or wages.
    • Salary Payment

 

Sr. Accounts officer/Accounts officer / Accountant should check the detail of salary (pay package) as stated in the appointment letter/contract/special order and yearly increment letter before making the first salary for the year and as and when required for the accurate payment of salary.

 

  • Deduction against salary

The Sr. Accounts officer /Accounts officer /Accountant must check and ensure that the following deductions have duly been made from salary during the time of preparing the salary sheet.

                

  1. i) Income Tax deduction
  • Individual tax is computed based on the current Fiscal Policy of the Govt.
  • Total tax against salary income should be deducted as per Income Tax Law.
  • An Income Tax Register is to be maintained in order to record total deduction, deposits to the bank and un-deposited balance.

 

  1. ii) Provident Fund Deduction
  • Check with individual basic salary.
  • Check the deducted amount of salary sheet with the amount stated in PF statement.
  • For Provident Fund loan realization as above.

 

iii) Leave without pay

  • Before preparing the salary statement ensure & check whether there is any letter regarding leave without pay from any Executive Director.
  • Deduct the amount as mentioned in the letter.
  • Check that the amount so deducted is in agreement with the letter.
  • Check the correctness of the calculation.

 

9.0   PROCESS OF BILL PAYMENTS

Bills are received by AOs from operational/implementing units and payment made after obtaining payment approval of appropriate authority. Because of the large number of locations and multi-projects/programs, it is the responsibility of the person submitting the bill/invoice to indicate the office, the project/program, and the budget line item on all bills sent to the AOs. Persons giving administrative approval on the bill are to ensure that this has been done correctly. AOs are authorized to refuse bills/ invoices which do not show the office/Project/ budget line. AO assigns the voucher number as per Chart of Accounts prior to data entry.

 

10.0 PAYMENT

  • A payment voucher is to be prepared based on the adequate/corroborative supporting documents which are to be approved before making any payment.
  • Necessary deduction should be made during the time of making payment as required by the Income Tax Rules (tax deduction at source).
  • During the time of making payment revenue stamp is to be affixed where necessary as required by the Government notification.
  • “PAID” stamp with date should be used in all payment vouchers/memorandum and supporting bills/invoices after making payment.
  • It is necessary to up-date the transaction recording (payment/ receipt) in the books daily.
  • If payment is Tk.10,000 (Ten Thousand) or more then that should be made through “Account Payee “Cheque (except for petty cash and advance to staff for official expenses).
  • In case of Bi-lateral Project, name of bilateral Project to be stamped in each voucher for that Project.

 

11.0   REVENUE STAMP FIXING

Revenue stamp is to be affixed with the voucher supporting documents as per the Stamp Act. Cost of stamp will be borne by the receiving party. Fixing of revenue stamp is applicable for staff salary payment. Accounts personnel at central and regional offices should follow the rule of fixing revenue stamp with due importance.

 

12.0 DEDUCTION OF TAX AND VAT

On payment of bill Tax and VAT is to be deducted at source where applicable. It is the duty of accounts personnel to realize tax and VAT on behalf of government as per present income tax ordinance and deposit the same to a govt. treasury within a shortest possible time not exceeding one week. Accounts personnel at Central and Regional/ Project offices are to strictly follow the existing Tax and VAT Law and Rules.

 

13.0 RETURN SUBMISSION AND TAX ASSESSMENT

DRI is a non-profit organization it submits tax return to the Deputy Commissioner of Taxes for the Tax assessment as per the Income Tax Ordinance 1984 and Income Tax Rule 1984.

 

14.0 BUDGET & BUDGETARY CONTROL

  • Budgetary Control System

Budget reflects the “Plan of Operation” and/or physical activities to be undertaken during the year. Budgetary control is a system of planning and controlling cost which starts with the establishment of budgeted goals of activities to be carried out in order to achieve the Organization objectives and regular comparison between budget and actual results/costs, analysis of variances and corrective measures.

 

  • Objectives of Budgetary Control System

From the functional point of view, a system of Budgetary Control serves the purpose of Planning, Co-ordination and Control. The objectives of the System are as detailed below:

 

  • Combining the ideas of all level of management in the preparation of different functional budget,
  • Co-ordinate all the activities of each cost center,
  • Assist in the centralization of control and responsibilities,
  • Planning and controlling income and expenditure to determine Organization need,
  • Acting as a guide for management decision,
  • Provide a yardstick against which actual results are compared,
  • A tool pointing out the areas where management action is required.

 

  • Budget preparation process

All AOs annualized payroll, support and transport cost up to March of current accounting year. Total requirement for the next year is determined by adding additional requirement or deleting amount not required. The reason for additional requirement is furnished in the statement. After careful scrutiny of total requirements of AOs with reference to explanations given, Budgeted Core Income and Expenditure is prepared. The balance between projected income and projected payroll, support and logistic cost is kept for program activities, which is matched with the annual plan of operation. DRI budget processing involves following two steps:

 

  1. i) Expressing in monetary terms the results of plans anticipated in future period.
  2. ii) Comparing actual results with the program estimates. Any significant differences point to the need for corrective action. In short, the budget becomes a standard for appraising operating results.

 

  • Determination and Control of Budget Limit

Budget limit for bilateral projects is determined by the project agreement with the donor. The agreement also specifies whether funds are re-allocable within line items and the percentage amount. Utmost care is to be taken to ensure no excess expenditure.

Budget limit for core program can be exceeded up to 10%. Re-allocations between line-items are allowed up to 15%. These limits can be exceeded only with the approval of Executive Director, DRI.

For proper monitoring, netting-off of recoveries (significant amount) against expenses is not made and both figures are shown in the budget (Gross amount).

15.0 REPORTING

15.1   Internal report

Financial Reports

  • Balance Sheet
  • Income and Expenditure Statement
  • Summary of Current Account
  • Project Summary
  • Matrix of Income by Funding Agency
  • Project Report – Program Operation
  • Explanatory Notes to the Accounts

Other Financial Reports

  • Cash Flow Projection
  • Bank Reconciliation’s
  • Reconciliation of Current Account

 

  •  NGO Affairs Bureau report      

The NGO Bureau requires the following reports:

(a)      Financial Statements – Balance Sheet, Income and Expenditure Account and Receipts and Payments Account

(b)      Donor fund utilization (against approved budget) with reasons for variance and unspent balance

 

  • Bilateral donors report

Bilateral donors stipulate their reporting requirements in their agreements with which DRI is to comply. Mostly it is reporting of fund utilization against budget amounts.

 

  • Signatories of the Financial Reports

The Annual Financial Statements are prepared on accrual basis in accordance with IFRS (International Financial Reporting Standards) and IAS (International Accounting Standards) as adopted in Bangladesh and it consists of:

  • Statement of Financial Position
  • Statement of Comprehensive Income
  • Receipts and Payments Statement in place of Cash Flow Statement, and
  • Notes to the Financial Statements

The Annual Financial Statements are signed by the Chairman, Boad of Trustees or Executive Director and Director – Finance and Accounts.

16.0 AUDITING

Accounts of the Trust shall be audited annually by the Chartered Accountants and the repot and balance sheet of such audit shall be obtained within six months after the end of every year of accounting, for consideration of the Board\d and for taking appropriate action thereon.

 

  • Internal Audit

Internal audit is conducted by the Internal Audit Department of DRI as per DRI own internal audit guidelines. Internal Audit policies and procedures have elaborated in Internal Audit Manual.

 

  • External Audit

DRI must have an external audit performed on an annual basis. The audit must cover all activities of DRI during the financial year (July – June). External auditors must be approved in writing by the DRI Board of Trustees. A change in the audit firm, performing the external audit, must be approved in writing by the DRI Board of Trustees. The auditor is required to submit the report as per the Terms of References (ToR).

 

  • Management Letter

External auditor is required to produce management letter, which will include their observations of areas, which need improvement in the internal controls and operations of DRI. The management letter should also include their recommendations and the responses from DRI management. All matters contained in the previous year’s management letter must have been attended to in the following year and must not appear again in the next management letter.

8. dRi Anti Discrimination & Harrasement Policy

Anti Discrimination & Harrasement Policy

  Development Research Initiative (dRi)

Contents

          1. Purpose and scope.. 1
          2. Policy statement. 1
          3. Forms of discrimination.. 2
          4. Creating equal opportunities in the workplace.. 3
          5. Equal Opportunities Monitoring.. 4
          6. Raising a complaint of discrimination.. 5

1.     Purpose and scope

The purpose of this Policy is to communicate dRi’s commitment to equality of opportunity in employment, with the aims of ensuring that all employees and job applicants are treated fairly and equally, and supporting dRi objective of providing a working environment that is free from all forms of discrimination.

The policy applies to all staff within dRi, including employees and other workers, such as regular employee, temporary and contractual employees. All employees are expected to put this policy into practice. The policy is regularly reviewed and may be amended at any time.

2.   Policy statement

dRi is fully committed to providing equality in the workplace and all opportunities for, and during employment, will be afforded to individuals fairly and irrespective of age, disability, gender, marital, pregnancy or maternity, race including ethnic, religion etc. The Organization aim to create a working environment that is free from discrimination and harassment in any form, in which all employees are treated with dignity and respect.

dRi will not unlawfully discriminate in the arrangements that make for recruitment and selection or in the opportunities afforded for employment, training or any other benefit. All decisions will be made fairly and objectively. The Organizational aim is as far as reasonably practicable, to ensure that all working practices are applied fairly and consistently and, where necessary, dRi will take reasonable steps to avoid or overcome any particular disadvantage these may cause and to promote equality.

The HR department will be responsible for monitoring and reviewing the policy and for ensuring that all employment related policies, procedures and practices adhere to this policy.

All staff have a responsibility not to discriminate or harass other staff and to report any such behavior of which they become aware to the supervisor or HR Manager. Managers/supervisors are responsible for implementing the Equal Opportunities Policy and must apply the policy as part of their day-to-day management of the Organization. All Managers/supervisors will receive specific training in this policy.

3.    Forms of discrimination

The following are the forms of discrimination that this policy aims to avoid:

Direct Discrimination occurs when a person is treated less favorably because of a protected characteristic that they either have or are thought to have. Direct discrimination can also occur by way of association, which is when a person is treated less favorably because, for example, their spouse or partner or other relative has the protected characteristic.

Indirect Discrimination occurs when a provision, criterion or practice is applied equally to everyone, but has a disproportionately adverse effect on people who share a particular protected characteristic. A person with the protected characteristic who is disadvantaged in that way has the right to complain.

Victimization occurs where someone is treated unfavorably because he/she has raised a complaint under this policy or taken legal action, in relation to any alleged act of unlawful discrimination, against the Organization or because he/she has supported someone else in doing this.

Harassment is unwanted conduct that violates an individual’s dignity or creates an intimidating, hostile, degrading, humiliating or offensive environment. Harassment can take many different forms and may involve inappropriate actions, behavior, comments, emails or physical contact that causes offence or are objectionable.

Harassment may involve a single incident or persistent behavior that extends over a period of time and can occur even if someone did not mean to cause offence. It also means that a person can be subjected to harassment by behavior that is not aimed at them directly but which they nonetheless find unpleasant. Harassment is always unacceptable and where it relates to a protected characteristic it will amount to an unlawful act of discrimination

Discrimination arising from Disability – In addition to the above, it is unlawful to treat a person unfavorably because of something that is the result, effect or outcome of their disability, unless the treatment is necessary and can be objectively justified. Furthermore, employers have a duty to make reasonable adjustments to ensure that disabled applicants, employees or other workers are not substantially disadvantaged.

4.    Creating equal opportunities in the workplace

There are a number of ways in which the Organization aims to ensure equal opportunities in the workplace, including:

Recruitment and Selection: Recruitment and selection procedures will be free from bias or discrimination. Recruitment procedures will be conducted objectively and will be based upon specific and reasonable job- related criteria. Decisions regarding an individual’s suitability for a particular role will be based on aptitude and ability.

dRi will consider making appropriate reasonable adjustments to the recruitment process to ensure that disabled applicants are not substantially disadvantaged. Wherever possible, vacancies will be advertised as being suitable for flexible working, to encourage applications from individuals seeking work on a part time or job share basis.

Career development and training: All staff will be given an appropriate induction to enable them to fulfill the responsibilities of their role. All employees will be encouraged to develop their full potential and dRi will not unreasonably deny an employee access to training or other career development opportunities. These will be (identified as part of an ongoing performance management process and will be) determined objectively, taking into account the needs of the business and available resources. Selection for promotion will be based on objective criteria and decisions will be made on the basis of merit.

Terms and conditions: The organizational terms and conditions of service will be applied fairly and benefits and facilities will be made available to all staff who should have access to them, as appropriate. dRi operates a pay and benefits system that is transparent, based on objective criteria and free from bias to ensure that all employees are rewarded fairly for their contribution. Terms and conditions of employment for part-time employees will be provided on a pro-rata basis to full-time employees. Similarly, the terms and conditions for fixed term employees will be comparable with those given to permanent employees, except when different treatment can be objectively justified.

Employment policies and practices: dRi aims to ensure that employment policies and practices, including any rules or requirements, do not directly or indirectly discriminate and are applied in a non- discriminatory manner. In particular dRi will ensure that all disciplinary decisions are fair and consistent and that selection for redundancy is based on objective criteria.

dRi will consider making appropriate reasonable adjustments to the working environment or any work arrangements that would alleviate any substantial disadvantage these cause disabled staff.

Working environment: All individuals have a right to be treated with dignity and respect and dRi takes reasonable steps to protect staff from discrimination, bullying or harassment and, in the event of a complaint, dRi will take appropriate action to prevent, as far as possible, a further occurrence. All staff are encouraged to report any incidents of inappropriate or unacceptable behavior at work or that occurs during the course of employment, on or off premises, including at work social events or at formal or informal events involving staff, other work-related contacts.

5.    Equal Opportunities Monitoring

dRi will monitor the effectiveness of this policy to ensure it achieving its objectives. As part of this process dRi will monitor:

  • the composition of job applicants and decisions in recruitment
  • the composition of the workforce
  • access to training, promotion and other opportunities and benefits
  • the impact of the employment policies, including use of the disciplinary and grievance procedure
  • dismissals and other terminations Information collected for monitoring purposes will be treated as confidential and will not be used for any other

 

6.   Raising a complaint of discrimination

If an employee believe he/she has been discriminated against, he/she should raise the matter in accordance with dRi’s Grievance Procedure. If an employee believe that he/she may have been subject to harassment he/she is encouraged to raise the matter under the Anti- Harassment Policy.

Any employee who is found to have committed an act of discrimination, or breached this policy in any other way, will be subject to action under the Disciplinary Procedure, up to and including dismissal. Non–employees will be subject to appropriate formal action that may, depending on the circumstances, involve terminating any contract or agreement.

dRi will also take seriously any malicious or, in its opinion, unwarranted allegation of discrimination and will take appropriate action, disciplinary or otherwise, where necessary.

 

 

9. dRi Anti Fraud Policy

Anti Fraud Policy

  Development Research Initiative (dRi)

Contents

            1. Introduction.. 1
            2. Responsibilities. 1
            3. Reporting Fraud: 2
            4. Anti-fraud measures: 2
            5. Conclusion: 2

1.     Introduction

The Management of dRi is committed to maintain high legal, ethical and moral standards, to adhere to the principles of integrity, objectivity and honesty and wishes to be seen as opposed to fraud and corruption in the way that it conducts its business. All members of staff are expected to share this commitment. The objective of this policy is to promote a culture which deters fraudulent activity and to facilitate the prevention and detection of fraud and the development of procedures which will aid in the investigation of fraud and related offences and which will ensure that such cases are dealt with timely and appropriately. A procedure is in place for the disclosure of situations of conflict of interests. The term fraud is commonly used to describe a wide range of misconducts including theft, corruption, embezzlement, bribery, forgery, misrepresentation, collusion, money laundering and concealment of material facts. It often involves the use of deception to make a personal gain for oneself, a connected person or a third party, or a loss for another – intention is the key element that distinguishes fraud from irregularity. Fraud does not just have a potential financial impact, but it can cause damage to the reputation of an organization responsible for managing funds effectively and efficiently. Corruption is the abuse of power for private gain. Conflict of interests exists where the impartial and objective exercise of the official functions of a person are compromised for reasons involving family, emotional life, political or national affinity, economic interest or any other shared interest.

2.   Responsibilities

In dRi, overall responsibility for managing the risk of fraud and corruption has been delegated to the Executive Director, who has the responsibility for

  • Undertaking a regular review, with the help of a risk assessment team, of the fraud risk;
  • Establishing an effective anti-fraud policy and fraud response plan;
  • Ensuring fraud awareness of staff and training;
  • Ensuring that the management refers promptly investigations to competent investigation bodies when they occur;
  • Process owners/managers of are responsible for the day-to-day management of fraud risks and action plans, as set out in the fraud risk assessment and particularly for the anti-fraud policy statement, together with procedures for adequate fraud risk assessment and the putting in place of effective and proportionate anti-fraud measures through an action plan (whenever the net risk after controls is significant or critical), are key components of the management’s anti-fraud programme or strategy.
  • Ensuring that an adequate system of internal control exists within their area of responsibility; o Preventing and detecting fraud;
  • Ensuring due diligence and implementing precautionary actions in case of suspicion of fraud o Taking corrective measures, including any administrative penalties, as relevant.
  • The Certifying Authorities have a system which records and stores reliable information on each operation; they receive adequate information from the management on the procedures and verifications carried out in relation to expenditure
  • The Audit Authority has a responsibility to act in accordance within professional standards in assessing the risk of fraud and the adequacy of the control framework in place.

3.    Reporting Fraud:

The management has procedures in place for reporting fraud. All reports will be dealt with in the strictest of confidence and in accordance with dRi Data Protection/Disclosure Act. Staff reporting irregularities or suspected frauds are protected from reprisals.

4.    Anti-fraud Measures:

The management has put in place proportionate anti-fraud measures based on a thorough fraud risk assessment. The management carries out a vigorous and prompt review into all cases of suspected and actual fraud which have occurred with a view to improve the internal management and control system where necessary.

5.    Conclusion:

Fraud can manifest itself in many different ways. The management has a zero-tolerance policy to fraud and corruption, and has in place a robust control system that is designed to prevent and detect, as far as is practicable, acts of fraud and correct their impact, should they occur.

 

10. dRi Conflict of Interest Policy

  Conflict of Interest Policy

Development Research Initiative (dRi)

 

Contents

                1. Statement of the Policy.. 1
                2. Purpose of the Policy.. 1
                3. Conflict of Interest: 2
                4. General Conflict of Interest Provisions: 2
                5. Financial Conflict of Interest Provisions: 3
                6. Disclosure and Review Process: 5

6.1 General Disclosure Process. 5

6.2 Review of Disclosures. 5

6.3 Records Retention. 6

6.4 Disclosure of Financial Interests. 6

                1. Measures for Non-Compliance.. 7
                2. Training.. 8
                3. Confidentiality.. 8

 

 

1.   Statement of the Policy

Consistent with dRi principles of Code of Ethics, the management and staff have the responsibility of administering the affairs of dRi honestly, and prudently, and of exercising their best care, skill and judgment for the sole benefit of dRi. These persons shall exercise the utmost good faith in all transactions involving their professional duties, and they shall not use their positions or knowledge gained therefrom for their personal benefit. They are always expected to act loyally, impartially, objectively in discharging their official duties with highest standard of professionalism and integrity. The interests of dRi must be the first priority in all decisions and actions. The Staff members shall ensure that expression of personal views and convictions does not compromise or appear to compromise the performance of their official duties or the interests of dRi due to any undisclosed conflict of interest.

dRi’s policy is that the existence of conflict of interest shall be disclosed before any transaction is consummated. The management and staff shall continuously securitize their transactions, outside business interests and relationships for potential conflicts and to immediately make such disclosures. Staff are expected to reveal any personal, family, or business interests that they have, which, by creating a divided loyalty, could influence their judgment and hence the wisdom of decisions.

2.  Purpose of the Policy

dRi adopts the Conflict of Interest (CoI) Policy in order to prevent Conflicts of Interest or the appearance of such conflicts by Staff members to establish good governance practice, maintain staff integrity, safeguard institutional resources, and promote transparency. dRi, as an organization, may be subject to and is expected to intense public scrutiny, especially in situations where its directors, management or staff appear to have inappropriately benefited from others directly or indirectly through access to information or from a decision over which they might have influence, or where someone might reasonably perceive such a benefit and influence to exist. dRi’s Research activities and findings also require heightened scrutiny to ensure transparency and accountability. The conflict-of-interest policy establishes procedures that will offer protection against charges of impropriety involving such persons. The policy is intended to ensure that when any actual or potential conflicts of interest arises, dRi has a process in place under which the affected individual will advise management or authorized official about all the relevant facts concerning the situation.

The policy also establishes procedures under which individuals who have a conflict of interest will be excused from voting on such matters. Management and staff are required to comply with the provisions of this Policy. dRi is committed to ensure strict adherence and any violation of any part of this policy may constitute cause for disciplinary or other administrative action pursuant to Staff Regulations and Rules and or policies under Institutional Governance Framework.

3.  Conflict of Interest:

Policy is predicated on the expectation that Staff members should conduct their affairs so as to avoid or minimize conflicts of interest, and must inform to appropriate authority when conflicts of interest arise. To that end, this policy informs such persons about situations that generate conflicts of interest related to research, training and administration and provides mechanisms for the institution to manage those conflicts of interest that arises, and describes situations that are prohibited. Every Staff member has an obligation to become familiar with, and abide by, the provisions of this policy. If a situation raising questions of Conflict of Interest arises, the member affected should discuss the situation with the Designated Official.

4.  General Conflict of Interest Provisions:

  1. Prohibition on Payment for Results. A Staff member shall not receive payments, gifts or hospitality from any source conditioned upon a particular research result or administrative action or that are tied to successful research outcomes or any administrative decision.
  2. Limitations on Participation in Transactions Involving Financially Interested Staff Members. A Staff member shall not participate in any Transaction involving dRi in which the Staff member has or receives a Significant Financial Interest unless the Transaction is reviewed and approved in accordance with this Policy after full disclosure of all relevant facts to ensure that any Conflict of Interest is managed, reduced or eliminated to prevent bias, improper influence, or misuse of dRi’s resources.
  3. Limitations on Participation in Transactions Involving Certain Business Entities. A Staff member shall not participate in any Transaction between dRi and a Business Entity in which the Staff member has or receives a Significant Financial Interest, or a Business Entity of which the Staff member is a trustee, director or officer unless such Transaction is reviewed and approved in accordance with this Policy after full disclosure of all relevant facts to ensure that any Conflict of Interest is managed, reduced or eliminated to prevent bias, improper influence, or misuse of dRi’s resources.
  4. Employment of Family Members. A Family Member may be employed by dRi; however, dRi will recruit, hire, train, and compensate individuals in all job classifications as per the Staff Regulations & Rules and based solely on the applicant’s qualifications, abilities or potential abilities, without any undue influence or involvement of the Staff Member.
  5. Personnel Actions Involving Family Members in official capacity. The Staff members in conducting their official activities with a coworker, who is a Family Member, must maintain strict professional ethics and shall avoid any personal action in the office environment which may give raise to any possible Conflict of Interest.
  6. Supervision of Family Members. A Trustee or a Staff member shall not directly supervise a Family Member or any person with whom he has a family relation without having prior written approval from the relevant authority.
  7. Disclosure in Publications and Presentations. A Staff member who is the author on a paper or presentation concerning Research Activity must disclose any Prohibited Financial Interests held or received by that Staff member that could directly and significantly affect or be affected by the research discussed in the paper or presentation. Issues concerning the necessity and scope of disclosures under this section will be referred to the Conflict-of-Interest Committee through the Designated Official.

5.  Financial Conflict of Interest Provisions:

“Financial Interest” means anything of monetary value received or held by a Staff member or his or her Family, whether or not the value is readily ascertainable, including, but not limited to: salary or other payments for services (e.g., consulting fees, honoraria, gifts exceeding $10 and hospitality or paid authorships for other than scholarly works); any equity interests (e.g., stocks, stock options, or other ownership interests); and intellectual property rights and interests (e.g., patents, trademarks, service marks, and copyrights), upon receipt of royalties or other income related to such intellectual property rights and interests.

For Management other dRi Staff members, Financial Interest also includes any reimbursed or sponsored travel undertaken by him or her that are related to his/her institutional responsibilities. This includes travel that is paid on behalf of the concerned individual as well as travel that is reimbursed, even if the exact monetary value is not readily available. It excludes travel reimbursed or sponsored by dRi. The term Financial Interest does not include:

  1. Salary, royalties or other remuneration from dRi;
  2. Income from the authorship of academic or scholarly works or intellectual contributions.
  3. Income from seminars, workshop and symposiums, lectures or teaching engagements sponsored by any government or non-government institutions including but not limited to institutions of higher education, or any research institutions that are affiliated with dRi subject to appropriate prior approval obtained from the Relevant Authority.
  4. Income from service on advisory committees or review panels by any government or non-government institutions including but not limited to institutions of higher education or any research institutions that are affiliated with dRi subject to appropriate prior approval obtained from the Relevant Authority
  5. Equity interests or Income from investment vehicles, such as mutual funds and retirement accounts, as long as the Staff member is not directly in control of the investment decisions made in these vehicles.

Significant Financial Interest means a Financial Interest that reasonably appears to be directly related to staff member’s Institutional Responsibilities, and:

  1. a) if with a publicly traded entity, the aggregate value of any salary or other payments for services received during the 12-month period preceding the disclosure, and the value of any equity interest during the 12-month period preceding or as of the date of disclosure, exceeds $5,000; or
  2. b) if with a non-publicly traded entity, the aggregate value of any salary or other payments for services received during the 12-month period preceding the disclosure exceeds $5,000; or
  3. c) if with a non-publicly-traded company, is an equity interest of any value during the 12-month period preceding or as of the date of disclosure; or
  4. d) is income exceeding $5,000 related to intellectual property rights and interests not reimbursed through the Institution, or
  5. e) is reimbursed or sponsored travel related to their institutional responsibilities.

Financial Conflict of Interest means a Significant Financial Interest (or, where the Institutional official requires disclosure of other Financial Interests, a Financial Interest) that the Institution reasonably determines could directly and significantly affect the design, conduct or reporting of any research activity.

Prohibition on Participation in Research activity by Financially Interested Staff members

A Staff member may not participate in a Research protocol

  1. a) if such Research is sponsored by or is designed to test a product or service of a for-profit entity in which that concerned has or receives an undisclosed significant Financial Interest; or
  2. b) if the relevant authority determines that the Staff member has or receives an undisclosed significant Financial Interest in a for-profit entity that could in any way directly and significantly affect or be affected by the outcome or conduct of such Research or activity or Institutional responsibility.

6.  Disclosure and Review Process:

6.1 General Disclosure Process

Staff members will disclose to the Committee any Conflict of Interest including any Significant Financial Interests he or she may have which reasonably appears to create a Conflict of Interest. In particular, but not limited to, all Staff Members should disclose Significant Financial Interests held in entities with which dRi maintains a vendor or other business relationship. dRi will require disclosures from all Staff Members. Disclosures must be updated at least annually and as otherwise requested by the CoI Committee or Designated Official for necessary review.

6.2 Review of Disclosures

  1. The CoI Committee or Designated Official will review all disclosures involving Prohibited Financial Interests or potential Prohibited Financial Interests which could reasonably affect or be affected by dRi’s activities and will recommend what conditions or restrictions should be imposed to ensure that any Conflict of Interest or apparent Conflict of Interest is appropriately managed, reduced or eliminated to prevent bias or other improper influence or misuse of dRi resources.
  2. The Conflict-of-Interest Committee or the Designated Official, as the case may be, will recommend to the Executive Director what conditions or restrictions should be imposed to ensure that any Conflict of Interest or apparent Conflict of Interest is appropriately managed, reduced or eliminated in accordance with dRi’s policy and applicable law to prevent bias or other improper influence or misuse of dRi resources. All such recommendations shall be subject to the approval of the Executive Director.

6.3 Records Retention

All records including disclosure forms, conflict management plans, and related documents relating to the disclosure of Conflicts of Interest and any action taken with respect thereto will be maintained for at least three years or as per dRi record retention policy, unless any litigation, claim, financial management review, or audit is started before the expiration of the three year period, the records shall be retained until all litigation, claims or audit findings involving the records have been resolved and final action taken.

6.4 Disclosure of Financial Interests

All Staff members are required to disclose their outside financial interests as defined above to dRi on an annual and on an ad hoc basis, as described below. The Col Committee or the Designated Official is responsible for the distribution, receipt, processing, review and retention of disclosure forms.

  1. a) Annual Disclosures. All Staff Members, through the Col Committee or the Designated Official must disclose their Significant Financial Interests that are related to Conflict-of-Interest Policy – First draft September 2013 6 the Staff Member’s institutional responsibilities to dRi, on an annual basis. All forms should be submitted to the Col Committee or the Designated Official by January 31st for the previous calendar year.
  2. b) Ad hoc Disclosures. In addition to annual disclosure, certain situations require ad hoc disclosure. All Staff members must disclose their Significant Financial Interests to dRi, through the Col Committee or the Designated Official, within 30 days of their initial appointment or employment. All Staff members must submit to the CoI Committee or Designated Official an ad hoc disclosure of any Significant Financial Interest they acquire or discover during the course of the year within thirty (30) days of discovering or acquiring the Significant Financial Interest
  3. c) Travel. All Staff members must also disclose reimbursed or sponsored travel related to their Institutional responsibilities, as defined above in the definition of Financial Interest and Significant Financial Interest. Such disclosures must include, at a minimum, the purpose of the trip, the identity of the sponsor/organizer, the destination, the duration, and, if known, the monetary value.

7.  Measures for Non-Compliance

  1. a) Reporting Violations. Violations of this Policy by Staff members will be reported to the Col Committee for appropriate action. Violations of this Policy by the administrative Staff members responsible to administer and manage dRi resources and Staff members responsible for the design, conduct or reporting of research activities will be reported to the Col Committee or Designated Official and will be addressed pursuant to this Policy. The Committee or Designated Official may seek guidance from the Executive Director for appropriate action for any Conflict or Financial Conflict of Interest in violation of this Policy. Intentional violations of this Policy by any Staff members may result in suspension or dismissal in accordance with the dRi Staff Regulations and Rules.
  2. b) Disciplinary Action In the event of any Staff Member’s failure to comply with this Policy. The CoI committee or Designated Official may suspend all relevant activities or take other disciplinary action as per Staff Regulations and Rules with approval from Executive Director until the matter is resolved or other action deemed appropriate is implemented. The decision to impose sanctions on a Staff member because of non-compliance of this Policy, or failure to comply with the decision of the CoI committee, will be notified in writing with the right to appeal against the decision to the Chairman.
  3. c) Retrospective Review In addition. If the CoI Committee or Designated Official determines that a Conflict or Financial Conflict of Interest was not identified or managed in a timely manner, including but not limited to a staff member’s failure to disclose a Conflict or Financial Conflict of Interest or non-compliance by a Staff member with management plan under this Policy, the committee or Designated Official will complete a retrospective review of the impugned activities to determine whether they activity conducted during the period of noncompliance was in violation of the Policy. Documentation of the retrospective review shall include the project number, project title, PI of the project, name of the Staff member with the Conflict or Financial Conflict of Interest, name of the entity with which the Staff member has the Conflict or Financial Conflict of Interest, reason(s) for the retrospective review, detailed methodology used for the retrospective review, and findings and conclusions of the review.

 

8.  Training

Each Staff Member, through dissemination, must be trained on this Policy, their responsibilities regarding disclosure of any Conflict or Financial Conflict of Interest prior to engaging in research. At least every four years thereafter retraining through dissemination and training sessions for previously trained Staff member should be organized. They must also complete training within a reasonable period of time as determined by the Col Committee or Designated Official in the event that this Policy is substantively amended in a manner that affects the requirements under this Policy. At the time of writing of this Policy, the responsibility of training shall be vested on the Human Resources.

9.  Confidentiality

To the extent permitted by law, all disclosure forms, conflict management plans, and related information will be confidential. However, dRi, at its sole discretion, may be required to make such information available to the primary entity who made the funding available to dRi, if requested or required. If dRi is requested to provide disclosure forms, conflict management plans, and related information to an outside entity, the concerned individual will be informed of this disclosure.

11. dRi COVID_19 Safety Protocol

    COVID-19 Safety Protocol

Development Research Initiative (dRi)

Contents

                1. Introduction.. 1
                2. About COVID-19.. 1

2.1 Symptoms of COVID-19. 1

2.2 How COVID-19 Spreads. 1

                1. Basic Infection Prevention Measures implemented by dRi 2

3.1 Guideline for protecting the employees and others in the workplace. 2

3.2 Guideline for protecting the employees and others while working in the field. 4

 

  1. Introduction

Coronavirus Disease 2019 (COVID-19) is a respiratory disease caused by the SARS-CoV-2 virus. It has spread from China to many other countries around the world. Depending on the severity of COVID-19’s international impacts, outbreak conditions has affected all aspects of daily life, including travel, trade, tourism, food supplies, and financial markets. Development Research Initiative (dRi) will follow this guide line to protect its employees from Coronavirus Disease 2019. dRi will also arrange a briefing by a trained healthcare professional for all its employees.

  1. About COVID-19

2.1 Symptoms of COVID-19

Infection with SARS-CoV-2, the virus that causes COVID-19, can cause illness ranging from mild to severe and, in some cases, can be fatal. Symptoms typically include fever, cough, and shortness of breath. Some people infected with the virus have reported experiencing other non-respiratory symptoms. Other people, referred to as asymptomatic cases, have experienced no symptoms at all.

According to the WHO, symptoms of COVID-19 may appear in as few as 2 days or as long as 14 days after exposure.

2.2 How COVID-19 Spreads

  • The first human cases of COVID-19 likely resulted from exposure to infected animals, infected people can spread SARS-CoV-2 to other people.
  • The virus is thought to spread mainly from person-to-person, including:
  • Between people who are in close contact with one another (within about 6 feet).
  • Through respiratory droplets produced when an infected person coughs or sneezes. These droplets can land in the mouths or noses of people who are nearby or possibly be inhaled into the lungs.
  • It may be possible that a person can get COVID-19 by touching a surface or object that has SARS-CoV-2 on it and then touching their own mouth, nose, or possibly their eyes, but this is not thought to be the primary way the virus spreads.
  • People are thought to be most contagious when they are most symptomatic (i.e., experiencing fever, cough, and/or shortness of breath). Some spread might be possible before people show symptoms; there have been reports of this type of asymptomatic transmission with this new coronavirus, but this is also not thought to be the main way the virus spreads.
  1. Basic Infection Prevention Measures implemented by dRi

To protect the employees, dRi will implement good hygiene and infection control practices, including:

  • Follow WHO recommended precautions (please see https://www.who.int/emergencies/diseases/novel-coronavirus-2019/advice-for-public) and Bangladesh Government health safety guidelines (please see https://dghs.gov.bd/index.php/en/home/5376-novel-coronavirus-covid-19-guidelines)
  • Ensuring frequent and thorough hand washing, by providing employees, customers, and visitors with a place to wash their hands, and by providing provide alcohol-based hand rubs containing at least 60% alcohol.
  • Encouraging the employees to stay home if they are sick.
  • Encouraging respiratory etiquette, including covering coughs and sneezes.
  • Providing customers and visitors with tissues and trash receptacles.
  • Discouraging employees from using other employees’ phones, desks, offices, or other work tools and equipment, when possible.
  • Maintaining regular housekeeping practices, including routine cleaning and disinfecting of surfaces, equipment, and other elements of the work environment.

 

3.1 Guideline for protecting the employees and others in the workplace

dRi encourages and expects all its employees to follow following guidelines:

  • Stay home when needed
  • If you have or think you have symptoms or have tested positive for COVID-19, stay home and find out what to do if you are sick and find out when you can be around others.
  • If you are well, but you have a sick family member or recently had close contact with someone with COVID-19, notify your supervisor and follow WHO recommended precautions (please see https://www.who.int/emergencies/diseases/novel-coronavirus-2019/advice-for-public).
  • Monitor your health
  • Be alert for symptoms. Watch for fever, cough, shortness of breath, or other symptoms of COVID-19.
  • This is especially important if you are running essential errands, going into the office or workplace, and in settings where it may be difficult to keep a physical distance of 6 feet.
  • Take your temperature if symptoms develop.
  • Don’t take your temperature within 30 minutes of exercising or after taking medications that could lower your temperature, like Paracetamol.
  • Follow WHO guidance if symptoms develop.
  • Wear a mask
  • Wear a mask in public settings where staying 6 feet apart (about two-arm length) is not possible. Interacting without wearing a mask increases your risk of getting infected.
  • Wearing a mask does not replace the need to practice social distancing.
  • Social distance in shared spaces
  • Maintain at least 6 feet of distance between you and others. COVID-19 spreads easier between people who are within 6 feet of each other.
  • Keeping distance from other people is especially important for people who are at increased risk for severe illness, such as older adults and those with certain medical conditions.
  • Indoor spaces are more risky than outdoor spaces where it might be harder to keep people apart and there’s less ventilation. Whenever you are inside your office, keep the windows open to ensure ventilation
  • Avoid close contact with others on your commute to work, if possible. Consider biking, walking, driving either alone or with other members of your household. Learn how to protect yourself when using transportation to commute to work.
  • Wash your hands often
  • Wash your hands often with soap and water for at least 20 seconds or use hand sanitizer with at least 60% alcohol if soap and water are not available. If your hands are visibly dirty, use soap and water over hand sanitizer.
  • Avoid touching your eyes, nose, and mouth if you haven’t washed your hands. Cover your coughs and sneezes
  • Remember to cover your mouth and nose with a tissue when you cough or sneeze, or use the inside of your elbow. Throw used tissues into no-touch trash cans and immediately wash hands with soap and water for at least 20 seconds.
  • If soap and water are not available, use hand sanitizer containing at least 60% alcohol.
  • Avoid sharing objects and equipment. Avoid using other employees’ phones, desks, offices, or other work tools and equipment, when possible. If you cannot avoid using someone else’s workstation, clean and disinfect before and after use.
  • Clean and disinfect frequently touched surfaces and objects. Clean and disinfect frequently touched objects and surfaces, like workstations, keyboards, telephones, handrails, and doorknobs. Dirty surfaces can be cleaned with soap and water before disinfection.

 

3.2 Guideline for protecting the employees and others while working in the field

In addition to following the guidelines mentioned above, dRi staffs are instructed to take following measures while working in the field-

  • Participation must be entirely voluntary.
  • Before field mobilization, researchers will be trained by health professional about maintaining health safety in the field.
  • All researchers must conduct daily self-monitoring for symptoms If individuals are feeling unwell in any way or are advised to initiate further medical follow up on completion of the self-assessment tool, they should immediately refrain from fieldwork, return home and self-isolate as soon as possible. Other team members should be able to continue field work as long as they have always strictly adhered to distancing and cleaning requirements and are not working alone.
  • Wear PPE, protective eyewear and hand gloves (provided by dRi) at all times. Discard PPE and hand gloves after each use.
  • Modify activities to maintain 6-foot social distancing (whenever possible). If not possible, then wear mask at all times.
  • Ensure adequate water and soap for handwashing. Develop an enhanced cleaning/disinfection protocol for any shared bathrooms, kitchen facilities, or shared equipment
  • Bring extra hand soap, hand sanitizer, and disinfectant wipes. Carry a thermometer in your first aid kit
  • Maintain robust communication to receive updates or get assistance; maintain a frequent check in schedule. Carry a written emergency plan; consider distance to medical care and limited medical services/support for other injuries or illness
  • All research team members must also know how to access the nearest hospitals and emergency medical services. Must collect contact details of nearest health service or professionals.
  • Select those areas which are not overcrowded and whether people of that community are aware of basic health safety precautions. Also, proximity to health services will be considered in selecting a study area.
  • For overnight trips, ensure extra lodging is available to maintain social distancing, i.e., single rooms
  • Avoid public transportation. Even for small groups, discuss transportation options to maintain social distancing.
  • Continue to monitor precautions and maintain flexibility to alter plans at any time, self-isolate, or return home. For this, maintain continuous communication with office.
  • Must have a contingency plan for any team member to return home in the event they cannot continue their work for any reason.

12. dRi Employee Code of Conduct

Employee Code of Conduct

Development Research Initiative (dRi)

Contents

                  1. Introduction: 1
                  2. Dress code.. 1
                  3. Cyber security and digital devices. 1
                  4. Cell phone.. 2
                  5. Corporate email 2

5.1 Our general expectations. 3

                  1. Social media.. 3

6.1 Representing our company through social media. 4

                  1. Conflict of interest. 4
                  2. Employee relationships. 5

8.1 Fraternization.. 5

8.2 Dating colleagues. 5

8.3 Dating managers. 6

8.4 Friendships at work. 6

                  1. Employment of relatives. 6
                  2. Workplace visitors. 7
                  3. Solicitation and distribution.. 7

1.     Introduction:

As a dRi employee, you are responsible to behave appropriately at work. We outline our expectations here. We can’t cover every single case of conduct, but we trust you to always use your best judgement. Reach out to your manager or HR if you face any issues or have any questions.

2.   Dress code

Our company’s official dress code is Smart Casual. This includes slacks/blouses/ boots. However, an employee’s position may also inform how they should dress. If you frequently meet with clients or prospects, please conform to a more formal dress code. We expect you to be clean when coming to work and avoid wearing clothes that are unprofessional (e.g., workout clothes.)

As long as you conform to our guidelines above, we don’t have specific expectations about what types of clothes or accessories you should wear.

We also respect and permit grooming styles, clothing and accessories that are dictated by religious beliefs, ethnicity or disability.

3.    Cyber security and digital devices

This section deals with all things digital at work. We want to set some guidelines for using computers, phones, our internet connection and social media to ensure security and protect our assets.

Internet usage

Our corporate internet connection is primarily for business. But you can occasionally use our connection for personal purposes as long as they don’t interfere with your job responsibilities. Also, we expect you to temporarily halt personal activities that slow down our internet connection (e.g., uploading photos) if you’re asked to.

 

You must not use our internet connection to:

  • Download or upload obscene, offensive or illegal material.
  • Send confidential information to unauthorized recipients.
  • Invade another person’s privacy and gain access to sensitive information.
  • Download or upload pirated movies, music, material or software.
  • Visit potentially dangerous websites that can compromise our network and computers’ safety.
  • Perform unauthorized or illegal actions, like hacking, fraud or buying/selling illegal goods.

 

4.    Cell phone

We allow use of cell phones at work. But we also want to ensure that your devices won’t distract you from your work or disrupt our workplace. We ask you to follow a few simple rules:

  • Use your cell phone in a manner that benefits your work (business calls, productivity apps, calendars.)
  • Keep personal calls brief and use an empty meeting room or common area so as not to disturb your colleagues.
  • Avoid playing games on your phone or texting excessively.
  • Don’t use your phone for any reason while driving a company vehicle.
  • Don’t use your phone to record confidential information.
  • Don’t download or upload inappropriate, illegal or obscene material using our corporate internet connection.

5.    Corporate email

Email is essential to our work. You should use your company email primarily for work, but we allow some uses of your company email for personal reasons.

  • Work-related use: You can use your corporate email for work-related purposes without limitations. For example, you can sign up for newsletters and online services that will help you in your job or professional growth.
  • Personal use: You can use your email for personal reasons as long as you keep it safe, and avoid spamming and disclosing confidential information. For example, you can send emails to friends and family and download eBooks, guides and other safe content for your personal use

5.1 Our general expectations

No matter how you use your corporate email, we expect you to avoid:

  • Signing up for illegal, unreliable, disreputable or suspect websites and services.
  • Sending unauthorized marketing content or emails.
  • Registering for a competitor’s services, unless authorized.
  • Sending insulting or discriminatory messages and content.
  • Spamming other people’s emails, including your co-workers

In general, use strong passwords and be vigilant in catching emails that carry malware or phishing attempts.

6.   Social media

We want to provide practical advice to prevent careless use of social media in our workplace. We address two types of social media uses: using personal social media at work and representing our company through social media.

Using personal social media at work

You are permitted to access your personal accounts at work. But we expect you to act responsibly, according to our policies and ensure that you stay productive. Specifically, we ask you to:

  • Discipline yourself. Avoid getting side-tracked by your social platforms.
  • Ensure others know that your personal account or statements don’t represent our company. For example, use a disclaimer such as “opinions are my own.”
  • Avoid sharing intellectual property (e.g., trademarks) or confidential information. Ask your manager or PR first before you share company news that’s not officially announced.
  • Avoid any defamatory, offensive or derogatory content. You may violate our company’s anti-harassment policy if you direct such content towards colleagues, clients or partners.

6.1 Representing our company through social media

If you handle our social media accounts or speak on our company’s behalf, we expect you to protect our company’s image and reputation. Specifically, you should:

  • Be respectful, polite and patient.
  • Avoid speaking on matters outside your field of expertise when possible.
  • Follow our confidentiality and data protection policies and observe laws governing copyrights, trademarks, plagiarism and fair use.
  • Coordinate with our PR Manager when you’re about to share any major-impact content.
  • Avoid deleting or ignoring comments for no reason.
  • Correct or remove any misleading or false content as quickly as possible.

7.    Conflict of interest

When you are experiencing a conflict of interest, your personal goals are no longer aligned with your responsibilities towards us. For example, owning stocks of one of our competitors is a conflict of interest.

In other cases, you may be faced with an ethical issue. For example, accepting a bribe may benefit you financially, but it is illegal and against our business code of ethics. If we become aware of such behaviour, you will lose your job and may face legal trouble.

For this reason, conflicts of interest are a serious issue for all of us. We expect you to be vigilant to spot circumstances that create conflicts of interest, either to yourself or for your direct reports. Follow our policies and always act in our company’s best interests. Whenever possible, do not let personal or financial interests get in the way of your job. If you are experiencing an ethical dilemma, talk to your manager or HR and we will try to help you resolve it.

8.   Employee relationships

We want to ensure that relationships between employees are appropriate and harmonious. We outline our guidelines and we ask you to always behave professionally.

8.1 Fraternization

Fraternization refers to dating or being friends with your colleagues. In this policy, “dating” equals consensual romantic relationships and sexual relations. Non-consensual relationships constitute sexual violence and we prohibit them explicitly.

8.2 Dating colleagues

If you start dating a colleague, we expect you to maintain professionalism and keep personal discussions outside of our workplace.

You are also obliged to respect your colleagues who date each other. We won’t tolerate sexual jokes, malicious gossip and improper comments. If you witness this kind of behavior, please report it to HR.

8.3 Dating managers

To avoid accusations of favoritism, abuse of authority and sexual harassment, supervisors must not date their direct reports. This restriction extends to every manager above an employee.

Also, if you act as a hiring manager, you aren’t allowed to hire your partner to your team. You can refer them for employment to other teams or departments where you don’t have any managerial or hiring authority.

8.4 Friendships at work

Employees who work together may naturally form friendships either in or outside of the workplace. We encourage this relationship between peers, as it can help you communicate and collaborate. But we expect you to focus on your work and keep personal disputes outside of our workplace.

9.   Employment of relatives

Everyone in our company should be hired, recognized or promoted because of their skills, character and work ethic. We would not like to see phenomena of nepotism, favoritism or conflicts of interest, so we will place some restrictions on hiring employees’ relatives.

To our company, a “relative” is someone who is related by blood or marriage within the third degree to an employee. This includes: parents, grandparents, in-laws, spouses or domestic partners, children, grandchildren, siblings, uncles, aunts, nieces, nephews, step- parents, step-children and adopted children.

As an employee, you can refer your relatives to work with our company. Here are our only restrictions:

  • You must not be involved in a supervisory/reporting relationship with a relative.
  • You cannot be transferred, promoted or hired inside a reporting relationship with a relative.
  • You cannot be part of a hiring committee, when your relative is interviewed for that position.

If you become related to a manager or direct report after you both become employed by our company, we may have to transfer one of you.

10.  Workplace visitors

If you want to invite a visitor to our office, please ask for permission from our HR Manager first. Also, inform our reception of your visitor’s arrival. Visitors should sign in and show identification. They will receive passes and will be asked to return them to reception once their visit is complete.

When you have office visitors, you also have responsibilities. You should:

  • Always tend to your visitors; especially when they are underage.
  • Keep your visitors away from areas where there are confidential records or sensitive equipment.
  • Prevent your visitors from persuading your colleagues, gathering donations or requesting participation in activities while on our premises.

Anyone who delivers orders, mail or packages for employees should remain at our building’s reception. If you are expecting a delivery, security guards will notify you so you may collect it.

11.    Solicitation and distribution

Solicitation is any form of requesting money, support or participation for products, groups, organizations or causes which are unrelated to our company (e.g., religious proselytism, asking for petition signatures.) Distribution means disseminating literature or material for commercial or political purposes.

We don’t allow solicitation and distribution by non-employees in our workplace. As an employee, you may solicit from your colleagues only when you want to:

  • Ask colleagues to help organize events for another employee (e.g. adoption/birth of a child, promotion, retiring.)
  • Seek support for a cause, charity or fundraising event sponsored, funded, organized or authorized by our company.
  • Invite colleagues to employee activities for an authorized non-business purpose (e.g. recreation, volunteering.)
  • Ask colleagues to participate in employment-related activities or groups protected by law (e.g., trade unions.)

In all cases, we ask that you do not disturb or distract colleagues from their work.

13. dRi Environmental Policy

Environmental  Policy

  Development Research Initiative (dRi)

Environmental Policy of Development Research Initiative

dRi is committed to promoting sustainability. We recognize that all firms and individuals have an important role to play in reducing negative environmental impacts and specifically tackling climate change.  As such, concern for the environment and the promotion of a broader sustainability agenda are integral to dRi activities and the management of the organization.  We aim to follow and to promote good sustainability practice, to reduce the environmental impacts of all our activities and to help our clients and partners to do the same.

We have developed the dRi Sustainability Policy, which comprises a set of principles, operating procedures and business targets.

Principles

Our Sustainability Policy is based upon the following principles:

  • To comply with, and exceed where practicable, all applicable legislation, regulations and codes of practice.
  • To integrate sustainability considerations into all our business decisions.
  • To ensure that all staff are fully aware of our Sustainability Policy and are committed to implementing and improving it.
  • To minimize the impact on sustainability of all office and transportation activities.
  • To make clients and suppliers aware of our Sustainability Policy, and encourage them to adopt sound sustainable management practices.
  • To review, annually report, and to continually strive to improve our sustainability performance.

In order to put these principles into action and to reduce our negative environmental impacts as a firm and as individuals, dRi implements the following procedures:

Minimizing carbon emissions from travel

  • Where possible, employees should use public transport, walk or cycle to attend meetings, apart from in exceptional circumstances where this is impractical and/or cost prohibitive.
  • Wherever possible, employees use clean-tech vehicles rather than traditionally powered cars and aircraft
  • All employee air travel requires Executive Director’s sign-off and is subject to review to determine if alternative travel arrangements have been explored
  • Wherever possible, employee travel within Bangladesh will be undertaken by train
  • dRi shall provide employees with technology options that provide an alternative that can avoid the need to physically travel to meetings, including teleconferencing, web cams, and the efficient timing of meetings to avoid multiple trips.
  • dRi will reduce the need for our staff to travel by supporting alternative working arrangements, including home working.
  • dRi will promote the use of public transport.

Minimize water consumption, waste & maximize recycling

  • dRi believes that the consumption of bottled water in an office or hospitality context is unnecessary. We use mains water in our office environments and request that venues to do the same for all dRi events and meetings.
  • Minimize our use of paper and other office consumables, for example by double-siding all paper used.
  • As far as possible arrange for the reuse or recycling of all waste, including paper, computer supplies and redundant equipment.
  • Reduce the energy consumption of office equipment by purchasing energy efficient equipment and employing good housekeeping (switching off equipment that is not in use).

Working practices

  • dRi undertakes regular annual employee awareness sessions to ensure every employee adheres to our sustainability policy
  • Wherever possible we source products and services from suppliers with a sustainability policy. This primarily covers printing supplies, stationery, computing equipment and business travel.
  • dRi requests that every employee takes account of sustainability issues in their advice to clients.
  • dRi will include a copy of our Sustainability Policy in all our proposals to clients.

Reporting our progress

  • dRi will use our own sustainability and emissions management solution to monitor our impact in real-time and identify potential sustainability opportunities.
  • dRi will report annually our environmental impact and progress against sustainability goals.

14. dRi Gender Policy

      Gender Policy

  Development Research Initiative (dRi)

Contents

                    1. Background and Rationale.. 1
                    2. Purpose, Goal and Objectives of the Gender Policy.. 2
                    3. Key Principles. 2
                    4. Organizational Development. 3
                    5. Programmatic Measures. 5
                    6.  Advocacy, Networking, Partnership Policy.. 7
                    7. External Representation.. 7
                    8. Financing and Resourcing.. 8
                    9. Implementation and Accountability.. 8
                    10. Safeguarding team: 9

 

1.     Background and Rationale

dRi’s vision is of a world free from all forms of exploitation and discrimination where everyone has the opportunity to realize their potential. Creation of this equal world is not possible keeping half of its population, the women and girls, disempowered. Women and girls do not enjoy the same status, power or access to and control over resources as men and boys. This situation is unacceptable. Principles of equity and social justice require us to work to ensure that everyone has equal opportunity for expressing and using their potential, irrespective of sex, age, race, colour, class, caste, religion, ethnic background, sexual orientation, HIV status or disability. In order to achieve gender equality, redistribution of power through economic, social and political empowerment is necessary. There is a strong need for safeguarding, and therefore, dRi aims to create a safe guarding culture at organizational level where staff give of their best, allowing them to develop, grow and achieve their full potentials without any gender-based discrimination. Also, safe guarding culture promotes the rights of the target beneficiaries and other relevant stakeholders. In addition, a men and boys engagement approach should be part of the process of empowering women and girls through addressing gender-based violence and all forms of discrimination and abuse that will be applicable for employees, participants and the wider community. The Gender Policy is the guiding document for dRi to be a high performing gender transformative organization ensuring commitment at the highest level – to the staff as well as to the community. To be a truly inclusive and diverse organization, we have also looked at the inclusion of other gender identities in this policy in order to address emerging needs. Promoting gender equality, women’s empowerment, addressing VAWC, and mobilizing men and boys are the core priority areas of interventions and organizational commitments of dRi. This policy considers the Human Rights Declaration and The Convention on the Elimination of all Forms of Discrimination against Women (CEDAW). The Sustainable Development Goals 5, 10, 16, and others (2016-2030) also provide guidance in the policy to accelerate efforts of promoting gender equality and women’s empowerment through adopting holistic action plans and proper implementation.

 

 

2.   Purpose, Goal and Objectives of the Gender Policy

Purpose: The purpose of the Gender Policy is to create a clear vision for the organization in terms of what it would like to achieve for gender equality. It

also aims to ensure that gender equality and women’s empowerment are central to dRi’s:

  • Programmes at all levels;
  • Organizational culture and behaviors; and
  • External representation.

Goal: The overall goal of the policy is to set the standard and principles of gender equality, under which all dRi entities create systems, programmes, processes and practices for mainstreaming Gender Equality and Women’s Empowerment (GEWE) towards dRi’s vision of a world free from all forms of exploitation and discrimination where everyone has the opportunity to realize their potential.

Objectives:

  1. Clearly define the principles of Gender Equality and Women’s Empowerment (GEWE) and take appropriate measures to adopt a shared vision to guide dRi staff in their work with a clear direction to promote Gender Equality and equity at organizational and programmatic level;
  2. develops an organizational culture that demonstrates dRi commitments towards gender equality and women’s empowerment.

3.    Key Principles

3.1 Gender equality, equity and nondiscrimination are central to dRi’s activities and operation

3.2 The empowerment of women and girls is recognized as fundamental to dRi’s vision and mission

3.3 Every individual understands clearly and demonstrates attitudes and behaviors that promote gender equity and equality

3.4 Adequate resources are allocated to work on promotion of gender equality and women’s empowerment

3.5 All work is continuously monitored against gender indicators based on different country contexts

3.6 The cross-cutting nature of gender equality and equity issue is recognized (and is both everyone’s responsibility and an area that warrants/ deserves specialized attention and resources in programme development

3.7 dRi recognizes that the path towards gender equality must also take into account gender diversity and intersectionality, i.e., inequalities between women resulting from all other forms of embedded discrimination to which they may be subjected based on sex, gender, ethnic origin, class, nationality, skin color, age, disability, sexual orientation, gender identity or political beliefs

3.8 Men and boys are prepared to be active agents in transforming the unequal society into an equal one

4.    Organizational Development

4.1 Uphold gender equality, and integrate gender and diversity perspectives through organizational policies, procedures, systems and practices; ensuring all the relevant policies, plans and measures and systems related to organizational development is gender responsive.

4.2 Strengthen the commitment to women’s rights and diversity at all levels of the organization, guiding all staff and stakeholders on the importance of gender equality with an intersectional approach.

4.3 Ensure that specialized gender functions, programmes and projects are in place and adequately resourced.

4.4 Recognize knowledge related to gender concerns and gender analysis as one of the core areas of building capacity for staff and build capabilities throughout the organization

4.5 Develop core competencies that address core values and gender awareness and equity and equality

4.6 Build a common understanding around gender through induction and training

 

 

 

4.7 Ensure that all training across the organization is gender-sensitive; and staff are trained on gender equality, intersectional perspectives and gender responsive behavior

4.8 Make all Human resource (HR) systems and process gender-sensitive and responsive, and integrate gender indicators into staff objectives in performance management systems (PMS) towards a gender responsive work environment

4.9 Priorities gender sensitivity in all terms of reference documents, including Terms of references (TORs) for external consultants

4.10 Determine the nature, structure, and causes of gender imbalance in staff throughout the organization and set targets for recruitment, retention and promotion of staff accordingly, particularly women in senior positions

4.11 Develop strategies for reaching gender targets, including: affirmative action; career development opportunities including development posts, training and internal promotion; family friendly and flexible working policies to allow staff to fulfil care responsibilities (including job-sharing, maternity, paternity and parental leave, and policies on childcare provision and/or subsidies for staff)

4.12 Promote a gender equity approach, aimed to ensure justice in the way women and men are treated and involving the adoption of special measures to tackle gender inequalities and to increase women’s independence

4.13 Ensure child safe guarding, child protection, sexual harassment prevention and protection policies are in place and applied properly

4.14 Make best endeavors to provide suitable transport and accommodation when travelling for work purposes, particularly for women staff and persons with disability.

4.15 Ensure an equal pay for equal work value for all staff irrespective of sex, gender, religion, race, language, HIV status, disability, class, ethnicity and other sexual orientation and sexuality etc.

4.16 Ensure that access to and use of information technology is gender equitable

4.17 Encourage women’s participation throughout the organization and develop strategies to increase their representation at decision making levels.

5.     Programmatic Measures

 

dRi is also committed towards gender mainstreaming in all programmes and enterprises. As a part of this process the following measures will be taken:

5.1 Support development of women’s inclusion, leadership, socio-economic empowerment, and decision making of all levels from family to public spaces

5.2 Promote intersectional analysis of gender inequalities and transform power relations at every sphere of life

5.3 Promote participation of women and girls as active citizens

5.4 Promote positive masculinities for changing gender relations, patriarchal mindset/attitudes, norms and harmful practices to women and children, and support value for gender roles and responsibilities.

5.5 Recognize the impact of climate change and exploitation of natural resources on women and support them for different initiatives for ecological justice

5.6 Support women and children’s survivors/victims of violence and support protection of their human rights

5.7 Ensure that women actively participate in humanitarian work in all stages (preparedness, response, recovery and rehabilitations)

5.8 Integrate gender equality and gender justice dimensions in all new programmes and project cycles (e.g., context analysis, planning, implementation, management and monitoring and evaluation, setting objectives, indicators and budgeting)

 

 

5.9 Ensure that throughout the proposal development process, the programs and projects seek to contribute towards gender diversity, gender equality and empowerment of the disadvantaged people, especially women and girls

5.10 Develop, promote, and use transformative ways of engaging men and boys for self-reflection and to promote gender equality and addressing VAWC

5.11 Integrate representation issues when developing BCC materials, reviewing text, pictures/ images/illustration to identify the gender norms communicating by the materials and to also pay attention to norms regarding age, sexual orientation, ethnicity and functional ability

5.12 Initiate cross-programme interventions to address emerging issues and priorities to promote gender equality and justice

5.13 Assess how interventions will impact women’s access to and control over resources and assess whether the project/ programme will address women’s practical needs or strategic interests or both (transformative potentials)

5.14 Develop Annual Operational Plans (AOP) based on gender objectives and indicators in achieving programmatic outcomes

5.15 Ensure that staff at all levels are able to identify examples of behavior and attitudes that promote gender equality and those that reinforce gender stereotypes in programme delivery

5.16 Ensure gender as a cross-cutting issue in all key strategic pillars of dRi nationally and internationally

5.17 Highlight gender perspectives in all research and evaluation findings of dRi’s core programmes and ensure that dRi programmes/departments/enterprises develop ownership for collecting

gender disaggregated data and capturing gender equality results for analysis and reporting

5.18 Ensure periodic documentation of gender mainstreaming lessons learned, challenges and good practices for learning and generating evidence advocacy

6.   Advocacy, Networking, Partnership Policy

Advocacy and networking will create a greater impact in reinforcing progress towards gender equality. Human rights defenders and policy makers have the data and evidence to support women‟s movements by guiding efforts to reach national and global goals of gender equality and women‟s empowerment. Therefore, dRi will build partnerships/allies, networking with like-minded organisations and forums at national and regional level.

6.1 Ensure women and girls participation with gender diversity and intersectionality in different forums/committees/meetings at local and national levels

6.2 Build partnerships/allies by networking at national and global levels with like-minded organisations who believe in gender equality and women‟s empowerment

6.3 Influence national policies for empowerment of women, gender equality and justice and for implementation of policies by upholding women‟s human rights at different levels

6.4 Support partners in developing their capacity to undertake gender analysis at the policy, program, and institutional levels, and to design and carry out programming that supports gender equality

7.   External Representation

The external presentations and communications of dRi should promote a balanced view of the issues surrounding gender equality and equity.

7.1 Ensure representation of women and girls at every setting with respect and dignity at programmatic and organisational levels

7.2 Ensure that gender analysis is central to the development of all marketing, fund raising, sponsorship and campaign work and incorporate gender equality and equity concerns into different activities wherever and whenever possible

7.3 Design and develop fundraising proposals/concept notes that consider gender equality and equity concerns and gender transformative approach

7.4 Inform donors about dRi gender equality goals and objectives and shared good practices of dRi gender mainstreaming work and its positive impact, respecting rights of privacy

7.5 Formulate all materials and general communications to reflect dRi’s goals and objectives on gender equality and equity, challenging gender stereotypes and recognizing gender diversity

7.6 Use gender-sensitive language and images in all internal and external communications

7.7 Endeavour to participate in public events only if there is gender diversity, taking into consideration the context and purpose.

7.8 Whenever possible, ensure women’s and girls‟ voices are heard in the first person, and ensure that women and men are proportionately represented during press briefings and other public relation activities

7.9 Ensure the organization’s internal and external communications and public engagement initiatives reflect the directions of this Gender Policy

8. Financing and Resourcing 

Adequate financing and resource arrangements are crucial for implementing the Gender Policy to achieve gender mainstreaming across the organization. Adequate resources will be allocated to all programmes, enterprises and departments to implement the Gender Policy throughout the organization, and evaluate results All programmes will document the operational cost for this with the respective annual account, and present on it if and when necessary.

9. Implementation and Accountability

Each Staff of dRi and dRi entities, programmes, projects, divisions, departments, and enterprises is accountable for successfully implementing the Gender Policy. Each team under a supervisor will be responsible in taking appropriate steps for ensuring gender mainstreaming to promote gender equality. Every staff of dRi and dRi entities should make all necessary efforts to study and become fully acquainted with the Gender Policy and its implementation. This policy also requires to document or disclose reasons for not having diversity in any item mentioned in this document with the intention to review the reasons towards ensuring progressive increase in inclusion. The policy will be available to all staff both in Bengali and English. Specific roles and responsibilities are outlined below: dRi Governing Body Members of the Governing Body will be responsible for the approval of the Gender Policy and its revisions to the previous version that reflect the changes in the organizational culture and development challenges. The Governing Boday will ensure accountability of dRi senior management towards implementation of this policy. Gender Steering Committee The gender steering committee will ensure dRi’s commitment for effective implementation of this policy and coordination to ensure gender equality promotion and gender justice in alignment with dRi’s strategic priorities. dRi Senior Management Authority dRi’s senior management will play a crucial role for the process of gender policy implementation and resource allocation. They will lead and be accountable for mainstreaming implementation processes in their own programmes /departments /enterprises.

 

 10.   Safeguarding team: 

The Safeguarding unit under the Human Resources Division will be responsible for providing all necessary technical support such as formulation of gender related policies and procedures (including Safeguarding Policy and other subset policies, such as, Child and Adolescent Protection Policy, Sexual Harassment Elimination Policy, Adults with Special Needs policy, Prevention of Workplace Bullying and Violence Policy, Whistleblowing Policy and Code of Conduct). This Safeguarding unit works to establish a high ethical safeguarding culture and practices within the organization to protect its staff, volunteer, partners, programme participants and community people from all kinds of abuse that is, against sexual harassment, intimidation and violence, bullying, humiliation and discrimination, neglect and exploitation.

15. dRi Human Resource Policy

  Human Resource Policy

Development Research Initiative (dRi)

Contents

                  1. INTRODUCTION… 2
                  2. BACKGROUND OF dRi 2
                  3. MISSION AND VISION OF dRi 3
                  4. STRUCTURE OF dRi 4
                  5. OBJECTIVES OF dRi 4
                  6. RECRUITMENT POLICY.. 5

6.1. Recruitment and Selection Procedure. 6

6.2. Process of Search.. 7

6.3. Role of Finance and Administration Department. 8

6.4. Examination and Interview Process. 9

6.5. Employment of Documents. 10

6.6. Employment Contract. 10

6.7. Probation Period of Employment. 11

6.8. Employment in the Case of False Information.. 11

                  1. EMPLOYEE CLASSIFICATION… 11

7.1. Employment Category. 12

                  1. ETHICS.. 13
                  2. LEAVE.. 13

9.1. Casual Leave. 14

9.2. Sick Leave. 14

9.3. Maternity Leave. 14

9.4. Paternal Leave. 15

9.5. Earned leave. 15

9.6. Quarantine Leave (QL) 15

9.7. Public Holiday. 15

9.8. Optional Leave.. 16

9.9 Study Leave (Home or abroad) 16

9.10. Leave Without Due Procedure. 16

9.11. Leave Without Pay. 17

9.12. Makeup Leave.. 17

                  1. WORKING HOURS.. 17

10.1. Attendance Procedures. 18

                  1. EMPLOYEE DISCIPLINE.. 18

12.1. Stages of Disciplinary Action.. 19

12.2. Finance and Administration Department. 20

12.3. Employee. 21

                  1. EMPLOYEE DEPARTURE.. 21

13.1. Types of Departure. 22

                  1. GRIEVANCE RESOLUTION… 23

14.1. Procedures. 23

14.2. Manager Administration.. 24

14.3. Finance and Administration.. 24

14.4. Chief Executive Officer. 24

14.5. Time period for Grievance. 25

                  1. EMPLOYEE RECORD.. 25
                  2. OCCUPATIONAL HEALTH AND SEFETY.. 25

16.1. Monitoring.. 26

                  1. TRAINING.. 26

17.1. Organization’s goals. 26

17.2. Specific tasks. 27

17.3. Engaged People. 27

                  1. PERFORMANCE APPRAISAL.. 27

ANNEXTURE.. 28

Annexure-01. 29

Annexure-3.. 29

Annexure-04.. 29

Annexure-05.. 29

Annexure-06.. 29

Annexure-07(a). 29

Annexure-07(b) 29

Annexure-08.. 29

Annexure 9(a). 29

Annexure-9(b) 29

Annexure-9(c) 29

Annexure-9(d) 29

Annexure-10.. 29

  1. INTRODUCTION

The Human Resource Policy Manual offers an integrated approach containing principles, guidelines, directions, procedures and practices for all the employees and provides uniformity in running the administration of Development Research Initiative. This manual bestows the instructions by which employees of Development Research Initiative are recruited and selected, how they are promoted, managed, paid, trained, benefited and developed. The manual will be available to all members of Board of Directors. Senior departmental heads can keep one copy of this manual to perform their job responsibilities efficiently. The conditions of employment and remuneration policies of the staff will be decided by the Development Research Initiative on the recommendation of the Board of Directors and any changes will be incorporated in this manual from time to time through amendments. Whenever there is any doubt as to the meaning and interpretation of any provision of this manual, the department/program head will refer the matter to the Board of Directors of Development Research Initiative through Chief Executive Officer. The Board will give its interpretation on the issue directly and the decision of the Board will be final and binding. As a short form use of the name “dRi” is preferred first.

 

 

  1. BACKGROUND OF dRi

Development Research Initiative is a research-oriented institute, established in 2008. dRi is being governed by a Board of Directors whose members are rendering voluntary service. Dedicated to versatile research programs, dRi is serving the society through a number of operation modalities which are particularly in line with a number of national and international organizations like Bangladesh Government, World Bank, WFP, UNDP and others.

Since inception, dRi has completed a wide array of research projects, building its reputation for generating high-quality evidence of what works in development practice. In addition, with support from many national and international organizations, dRi has started specializing in social safeguard works for infrastructure development projects including but not limited to social assessments, social impact assessments, resettlement action plan preparation and implementation and monitoring and evaluation of resettlement activities. The commitment to apply academic skills and creativity to real-world challenges is at the heart of dRi’s agenda.

dRi takes an inclusive, multidisciplinary and mixed method approach to capture the depth and breadth of research problems. We apply robust quantitative tools for counterfactual analysis, including Randomized Control Trials (RCT) and Propensity Score Matching (PSM), to determine the efficacy of a program or policy. dRi has established itself as an expert both in Ex Post and Ex Ante impact evaluations. DRI also offers sophisticated qualitative and participatory methods, including Qualitative Longitudinal Research (QLR), Process Documentation Research (PDR) and Ethnography and Participatory Impact Assessment (PIA), to systematically assess our central question- ‘what works for whom and under what conditions?

  1. MISSION AND VISION OF dRi

Vision: The core vision of dRi is to help Bangladesh progress with institutions and policies that make information-based decisions built on reliable and ethical data.

Mission: The Mission of this organization are:

  • To promote objective, data-driven and evidence-based research and evaluation.
  • To become thought leaders in the field of development and policymaking.

 

  1. STRUCTURE OF dRi
EXECUTIVE MANAGEMETN TEAM
Chairman
Managing Director
Chief Executive Officer
Chief Financial Officer
Director, Research
Director, Program

 

  1. OBJECTIVES OF dRi
  • To conduct dynamic research and analysis of a wide range of issues, including, but not limited to climate change, urban poverty, governance, refugees, legal aid, informal justice mechanisms, violence against women, child rights and protection, community policing, social accountability, migration, food security, education, women’s empowerment and community-based development etc. related to development, international aid, NGOs, markets and the state.
  • To undertake various socio-economic research projects to find out suitable solutions to the problems of Bangladesh and abroad and to discover the ways of incorporating socio-economic innovation, practical experience and lesson learnt of any intervention through the research.
  • To affiliate with academic and research institutions, education Boards, universities, university Grant Commission and other bodies, both local and foreign, and work jointly on various sector as required.
  • To undertake and help to undertake research projects and collaborate with other national and international research institutions.
  • To advocate for better policies on various development issues by creating liaison with government institutions.
  • Support government and non-profit institutions towards making data-driven decisions and help them to gather data and evidence through our expertise and networks.
  • To provide grants for stipends and other forms of financial assistance to the needy and deserving students, elderly people and extreme poor people for pursuing education, vocational training, skill development, income generation activities, healthcare etc.
  • To help the Government and Non-Government Organizations of Bangladesh and abroad to create awareness and of the underprivileged groups as to activities involving various socio-economic issues.
  • To organize conferences, seminars, workshops, symposiums, extensive lectures on various socio-economic related subjects, debates for interested persons and to provide exchange of their views at the grassroots level with different low-income, disenfranchised and underprivileged groups, as well as in national and international conferences, workshops and training and educational programs.
  • The objective will be to overcome poverty, addressing one or more problems (such as education, health, technology access, environment etc.) which threaten people and society; and thereby achieving financial and economic sustainability.
  • Contribute towards social development through different initiatives that help the poor alleviate poverty, achieve well-being and improve socio-economic conditions.
  1. RECRUITMENT POLICY

The purpose of recruitment policy is to establish processes, procedures as well as a system to ensure that dRi for any kind of research or any kind of program has the most effective recruitment practice to support its aim in establishing effective, vibrant, animated consultancy, research and evaluation culture in Bangladesh. By attracting and employing highest caliber candidates in the right position, dRi maintains the organization’s image as the most accredited employer in the region.

dRi follows a suitable recruitment system based on careful strength of mind of the required competence, aptitudes, skills, proficiency as well as cogent search and selection methods with well-organized communication with candidates.

dRi does not endorse any means of discrimination based on ethnicity, race, cultural background, economic background, religion, gender or any other way against any candidate.

6.1. Recruitment and Selection Procedure

  • An interview panel shall be formed to judge the applicants. Being the head of interview panel, the Chairman of dRi, will give the instruction with how many members the interview panel will be comprised and the number of the interview board member must be more than 3(three). The Chief Executive Officer can recommend including any member from internal management team of dRi or from external to attend the interview board.
  • Every Recruitment and Selection process will be started and completed with prior approval of Chief Executive Officer.
  • The Finance and Administration department is responsible for structuring and operating the recruitment systems and hiring the most competent candidates to cover the staffing needs of the organization.
  • Each year every departmental head must develop the annual manpower plan and budget for the next year using Recruitment and Selection Form. See Annexure-01. Each department will submit their demand in the prescribed form to Finance and Administration Department.
  • To be employed by dRi management, one should meet the following general criteria:
  1. Have academic qualifications and practical experiences required for the job as specified by the organization job description.

 

  1. Successfully triumph over any tests, written, viva or any one of the two, determined by the dRi management.

 

  1. Proven medical test certificate issued by a reputed government or nongovernmental hospital.

 

  1. Cleared background checks and verification of all documents conducted by law enforcement agency.

 

6.2. Process of Search

  • All forms of searches initiated on behalf of dRi for any position shall be done in collaboration with the Chief Financial Officer and Administration Head.
  • The Administration Department initially conducts an internal search to determine if any current employees meet the qualification for the open position.
  • An internal job posting system will be established and used for allowing employees to be considered for the new positions. This job posting system will be initiated within the organization at a time appropriate in the following means:
  • Review existing database candidates compiled by the Administration department
  • Post advertisement in newspapers
  • Post advertisement in digital media platforms such as Bdjobs website, organization Facebook page, LinkedIn Profile, and dRi website.
  • Accept referrals and walk-ins

 

6.3. Role of Finance and Administration Department

  • Receive all individuals’ applications.
  • Review, rearrange and classify all application in the prescribed forms (See Annexure-02).
  • The manager of Administration will be responsible for screening and filtering all received CVs and applications based upon the skills, qualifications and experience of the applicants to match the defined job and give feedback to head of the Administration department.
  • Manager Finance will review the total budget for recruitment and selection procedure. It incorporates the cost for recruitment procedure, employee salary and benefit and any other cost regarding recruitment and selection. Mentioning everything, Manager Finance will submit a report to Chief Financial Officer.
  • References given by the applicants may be checked to obtain general information concerning the applicant’s past performance, reliability and technical skills before final requirement and selection.
  • Applications forms, accepted or rejected, can be preserved by the Manager of Administration Department with prior approval of Chief Financial Officer.
  • The Manager of Administration will be responsible for completing the following:
  • Employment notice (See Annexure-03)

6.4. Examination and Interview Process

  • From the pool of applications received, the selection committee will select a limited number of candidates for the next process.
  • Selected candidates will be asked to participate in a written examination. The examination will be comprehensive in terms of broad requirements, while having a thematic section based on the department or area of work that the job holder will perform. For example, a thematic section with questions related to finance will be asked for the finance department; similarly, questions or competencies related to STATA/SPSS may be examined for quantitative researcher positions.
  • Selected candidates from the written examination will be called for a face-to-face or online interview session. The position/positions will be offered among the candidates of the interview. There is no specific point system regarding how much value the three stages of examination hold. The evaluation will be rather subjective based on the needed capacity and value judgment of the interview board.
  • Selected candidate/candidates will be offered a formal position with benefits. If candidates propose changes in the contract, the Chief Financial Officer and Administration Head will lead necessary negotiations.
  • If the candidate/candidates refuse the offer, the interview committee can recommend other candidates from the interview pool and negotiations will be held with them until the positions are filled.

 

6.5. Employment of Documents

Selected candidates have to submit some documents to complete the recruitment and selection process. All the submitted documents shall be kept in the employee’s personal file and dRi management practices the right to keep all copies of these documents after the termination of the service. Candidates should provide the following documents:

  1. Joining letter duly accepted by Finance and Administration department
  2. Resume
  3. All educational Certificates
  4. All Training Certificates
  5. 2 copy passport size photographs and e-photograph
  6. Letter of Release from former employer (if applicable)
  7. Salary certificate
  8. Medical Test Certificate
  9. NID/Passport

 

6.6. Employment Contract

  • Recruitment of an employee is finalized in accordance with employment contract. A copy is handed to the employee and another copy will be kept in the employee’s personal file.
  • The contract outlines the employee’s positions, salary and benefits he/she will enjoy and any other necessary information.
  • All terms and conditions of an employee’s contract will be in effect and enforced as of the date of joining.

6.7. Probation Period of Employment

The first six (6) months of employment are probationary period. In this time of trial period, dRi management can also assess the skill levels of newly recruited employees; they can find out the potential of employees in which department the employees suit the best. Before the end of this probationary period, management can conduct two phases evaluation test forming of written and viva. The copy of the complete performance result during this period with comments and recommendations of evaluation test will be submitted to the Department of Finance and Administration. Signature of the concerned head of the probationary period must be in the recommendation letter. At the completion of the probation period, one of three things may occur:

 

  1. Probation will end and contract will not be extended
  2. Probation will be extended for additional time

iii.      New employment contract will be generated

6.8. Employment in the Case of False Information

In case of submission any false, forged information, documents, dRi management at any time can cancel employment contract of any selected and recruited employee. Furthermore, if the case is so, the entire contract will be automatically cancelled without prior notice, reward or compensation. dRi management in this respect reserves the right to take any legal actions against that         person.

  1. EMPLOYEE CLASSIFICATION

The classification of employee provides a framework to implement organization’s human resource management objectives and activities. Understanding kinds of employee determines an employee as full-time, part-time, or temporary. Employee classification also guarantees that employment practices comply with relevant laws and regulations. The employee categorization plan facilitates other human resource functions such as recruitment and selection, pay structuring, training and development, performance evaluation, and workforce/employment planning.

7.1. Employment Category

dRi staff are classified into various categories based on their work types.

  1. Regular staff: Staff who are employed against permanent positions require serving a fixed probation period before confirmation. Such employees generally fall into three major categories: full-time, part-time, and temporary employees.

Regular full-time employees are not in a temporary status and are regularly scheduled to work the company’s full-time schedule. Generally, they are eligible for the full benefits package, subject to the terms, conditions and limitations of each benefit program.

Regular part-time employees are not in a temporary status and are regularly scheduled to work less than the full-time schedule but at least [sixteen hours] each week. Regular part-time employees are eligible for some of the benefits offered by the company, subject to the terms, conditions and limitations of each benefit program.

Temporary full-time employees are hired as interim replacements to temporarily supplement the workforce or to assist in the completion of a specific project and are temporarily scheduled to work the company’s full-time schedule for a limited duration. Employment beyond any initially stated period does not in any way imply a change in employment status.

  1. Service staff: Staff who contribute physical labour to perform their job, require six months of probation period.

There are two subcategories.

  • working five days per week
  • working six days per week

Contractual Staff: Contractual staff work on the basis of contract. There are two types of contractual staff in dRi

  • Project Staff: Full time staff who are hired for a specific project according to the duration of that project.
  • Fixed Term: Staff who are hired for a specific period of time.

 

  1. ETHICS

Ethics direct mission, vision, values, policies, programs, decisions of the organization. The employee is required to exercise the highest ethical standards and abide by a code of conduct compatible with the values of dRi. An employee should be free of any personal interests which could influence his or her judgment or action in the conduct of business or would affect his or her responsibility. An employee must not only avoid situations which give rise to a conflict of interest, but also those situations which create the appearance of a conflict of interest.

This policy is not intended to delineate every situation that could give rise to a conflict of interest but should serve as general guidelines for the evaluation of specific situations as they arise. An individual with ordinary good judgment should generally know whether or not a particular activity involves an actual or potential conflict without the need for specific rules. However, where there is doubt, the matter should be brought to the attention of the employee’s supervisor, who will take action as appropriate.

  1. LEAVE

The purpose of this leave policy is to make available a reasonable and competitive level of vacation (time off) to employees. It gives mental and physical relaxation so that employees are expected to return to the job with greater productivity. Every employee has to fill up leave application form (See Annexure-06) for granting leave.

It should be pointed out that dRi recognizes such opportunities of leave as a privilege and not a right. Therefore, dRi has the authority to take action if leave is taken without due procedure which is explained in section 10.10.

Types of leaves are explained below:

9.1. Casual Leave

  • 20 days CL is entitled each Calendar Year
  • Maximum 3 days CL may be included before or after weekly or public holiday;
  • CL may not be granted between govt. holiday;
  • CL may not be taken for serious illness or quarantine diseases;
  • Taking CL nobody is allowed to go abroad;
  • CL will be treated as duty period;
  • Joining report is not required.

 

9.2. Sick Leave

Sick leave may be used for health-related purposes such as illness, injury and medical diagnosis or treatments. Employee can enjoy sick leave showing medical certificate to appropriate authority. Authority will decide how many days employee can enjoy under sick leave.

9.3. Maternity Leave

  • Women employee is entitled for a period of 06 months ML from her date of commencement of the leave or her confinement for the purpose of delivery, whichever is earlier;
  • ML shall not be admissible more than twice during the tenure of her service;
  • ML will not be debited from her leave account
  • Full average pay is entitled[1]

9.4. Paternal Leave

Fathers can enjoy leave to look after newborns and their wives. Paternal leave will be not more than 10 days.

9.5. Earned leave

Leave is earned by duty only. Employee will get 1 day earned leave after every 16.38 (i.e. 21 days in a year) working days.

9.6. Quarantine Leave (QL)

  • QL is leave of absence from duty necessitated by orders not to attend office in consequence of the presence of infectious disease (Small Pox, Typhus, Plague, Cholera & Meningitis, COVID-19) in the family or household of an employee;
  • QL may be granted for a period not exceeding 21 days, or in special circumstances 30 days;
  • QL is not treated as absent from duty;
  • Full average pay is entitled.

9.7. Public Holiday

“Public Holidays” includes Fridays and the days declared by the Govt. by notification in the official gazette. Public holidays include:

  1. Weekly holiday (FRIDAY)
  2. International Mother Language Day (21 February)
  • Bangabandhu Birth Day and Child Day (17 March)
  1. Independence Day (26 March)
  2. Bangla New Year’s Day (14 Apr)
  3. May Day (1st May)
  • National Mourning Day (15 August)
  • Victory Day (16 December)
  1. Christmas Day (25 December)
  2. Buddha Purnima
  3. Durga Puja
  • Janmashtami
  • Muharram
  • Eid e-Milad-un-Nabi
  1. Shab-e- Barat
  • Shab-e- Kadar
  • Before & after Eid-ul-Fitr (3 days)
  • Before & after Eid al-Adha (3 days)

9.8. Optional Leave

Employee can enjoy maximum 3 days leave according to their own religious festival;

9.9 Study Leave (Home or abroad)

An employee can enjoy maximum three (03) years study leave without pay. But dRi authority will take final decision in this regard.

9.10. Leave Without Due Procedure

If leave(s) is taken without due procedure, there may be three implications:

  • An employee may have to provide a verbal or written statement in the beginning of the procedure explaining the reasons of unplanned leave.
  • Employer has the discretionary power to call the employee to come back and may use that power, even if the employee has gone through due procedure.
  • If the leave is based on emergency situation, the employer may decide to provide a leave or grant a leave without payment.

Employer also has the authority to take disciplinary action based on verbal or written explanation. The employee must provide an explanation after returning from the leave. One of three aforementioned rules will be applied based on the gravity of the situation.

9.11. Leave Without Pay

After finishing due leave, if any employee is absent from working place, it will be termed as leave without pay.

9.12. Makeup Leave

  • Staff who travel on weekends or annual holiday(s) for official purpose can avail one day compensatory leave for each travel. He/she needs to avail the compensatory leave within that week after his/her return.
  • Staff who work on weekends or annual holiday(s) are also entitled to avail compensatory leave against each day of work on weekend(s) or annual holiday(s) and can avail a maximum of seven (07) days compensatory leave in a year. The compensatory leave needs to be availed within that particular week.
  • Staff who are involved in recruitment process on weekends or annual holiday(s) can enjoy compensatory leave within the year as per abovementioned regulations.
  1. WORKING HOURS

The office working hour is 9:00 a.m. to 5:00 p.m. from Saturday through Thursday in every week. Employees may occasionally be expected to work additional hours in the normal course of their duties. However, employees are expected to work minimum 8 hours in a workday or 48 hours in a week; but due to an unforeseen emergency, number of working hours could be increased. If any employee does not come to office by 10 a.m. of the workday, the employee will be marked as late comer in the attendance register.  Every three late attendance of such shall be counted as one day leave.

Some employees, such as drivers or office maintenance persons, may be able to rearrange alternative work schedules in consultation with their supervisor which will be stipulated in the employment contract.

Standard breaking time for employees of dRi is not more than 1 (one) hour in every workday. Employees are expected to work from 9: A.M. to 5:00 P.M. including aforementioned breaking time for tea, lunch and prayer.

10.1. Attendance Procedures

Manager Admin will perform the following activities regarding attendance procedure:

  • Manager Admin prepares monthly attendance and absence reports of employees (See Annexure-07(a) and Annexture-07(b)
  • Review attendance file and signs
  • Review all reports with attendance sheet, vacations and leave permission.
  • Endorse the attendance and absence reports to the Chief Financial Officer
  • Apply organization regulations and penalties polices to employee
  • Inform finance department of all penalties requesting to apply necessary financial reduction on payroll.
  1. EMPLOYEE DISCIPLINE

Verified breach of code of conduct, rules and regulations or other applicable dRi policies by any employee, in spite of the mode of appointment, will direct to suitable disciplinary action. Disciplinary action will go passing various stages based on the seriousness of the case. However, dRi administration is not bound to follow all stages of disciplinary action. It is a possible framework, but based on the severity of the issue, it can function with adequate discretion.

Before analyzing various stages of disciplinary action, dRi management should ensure the following things to encourage discipline within the organization:

  • Clearly stated rules and regulations: to inspire discipline in employees there should be clear rules and regulations that specify what is anticipated from each employee and what is not. Dos and don’ts of dRi are to be familiar with employees.
  • The rules and regulations should be constantly updated and reviewed. This process of updating will make it easier to do away with rules, policies that are no more necessary and inserting new that are needed.
  • There should be no discrimination in enforcing rules and regulations. It will be the duty of dRi management to make sure an equal application of disciplinary action for every employee.
  • There should be proper communication of the rules concerning discipline in the dRi. These rules should be written in the employee handbook and also put in notice boards. By so doing no employee can say he or she is not aware of the rules.
  • Disciplinary actions should be applied in such a way that no employee can repeat the breach of any rules of dRi.
  • dRi management can arrange a monthly in-house conference to discuss about rules and regulations of organization.
  • No employee shall participate in any activity or demonstration detrimental to the interest of dRi

12.1. Stages of Disciplinary Action

Flow Chart: Disciplinary Action Stage

  • Verbal Warning

Manager Admin will conduct a session of coaching and counseling between him and the employee in the first instances of (minor) misconduct and negligence following an informal discussion. When verbal warning is given, it should be noted in his dossier (to keep it noticed).

  • Written Warning

A written warning is used when a verbal warning has already been administered without success, or when the misconduct is more serious. The written warning will be signed by the Manager, Administration Department. A copy is placed in the employee’s personnel file. The warning should contain plans to obey disciplinary action.

  • Demotion

A demotion is a transfer of an employee to a lower-paid position, either temporarily or on a permanent basis. A temporary demotion may be for a fixed period, which should not be longer than six (6) months.

  • Suspension (Without Pay)

When employees do not correct his misconduct, minor or more serious, afterwards of the previous disciplinary actions, suspension from work will be applied as disciplinary measure. Suspension can be up to eight (8) workdays and is usually without pay.

  • Termination

If employees do not correct his misconduct, repeat wrongdoings or breach organizational rules or commit serious crimes, employment may be terminated with show-cause.

12.2. Finance and Administration Department

All the disciplinary penalties outlined in this human resource manual will be conducted by the Finance and Administration Department of dRi. Some important activities of Finance and Administration Department are as follows:

  • Talk to manager (concerned department) for an offence subject to the penalty stages of verbal and written warning;
  • Talk to director for an offence subject to the penalty stages of demotion, suspension and termination.
  • Check personal file of employee committed misconduct.
  • Prepare attendance sheet minimum three consecutive months.
  • Record the penalty in the penalty record sheet.

12.3. Employee

An employee who has been charged with misconduct will has the right to the following:

  • Will receive a formal penalty notice
  • Will have the right to appeal to the appropriate authority against penalty imposed on him/her.
  1. EMPLOYEE DEPARTURE

Employment continuation with organization is subject to certain state of affairs. Based on the nature of recruitment and selection of employees, their performance, records of abiding by organizations rules and regulations and overall policies of dRi, employee can be departed from the work place. Employees can retire, discontinue contract or be terminated for breach of management rules or by dRi management on rightful ground. Final departure of an employee is subject to filling up of a departure checklist. (See Annexure-08

13.1. Types of Departure

  • Resignation – The employee may terminate his/her employment by providing written notice to supervisor at least one (1) month prior to the effective resignation date. This type of exit from dRi could be considered as optional retirement.  Vacation shall not be taken from the time that an employee gives notice until his/her last day of employment without prior approval of the appropriate supervisor.
  • End of Agreement/Contract: Employee recruited for a certain period of time for the completion of a specific program can be departed from dRi unless the contract is renewed or replaced prior to its expiration date.
  • Dismissal for misconduct or Breach of dRi rules and regulations: Misconduct by an employee or violation of dRi rules and regulations will produce dismissal without any notice or wages in lieu of notice. Area of misconduct are the actions that an employee keenly and purposefully does which harms, jeopardizes or otherwise seriously endangers the well-being of the dRi or its staff. Dismissal on this ground is subject to:
  • Deliberate false statement, misrepresentation or fraud in employment application or official
  • Failure to comply with written or oral rules, regulations or instructions in such a way that the program or the work of others is seriously jeopardized.
  • Dishonesty or untrustworthiness in statement or in actions.
  • Theft of staff money, equipment, material or property.
  • Use, buying or selling of illegal substances while at work or on work premises.
  • Serious negligence in the performance of duties.
  • Divulgence of sensitive, confidential information.
  • Retirement– Generally dRi will follow Public Servants (Retirement) Act, 1974 of Bangladesh regarding retirement age (59) for its employee. But it is the privilege of dRi authority to determine whether an employee will continue the work or retire from the job. But whatever the situation, an employee on the course of retirement must be paid due benefits.
  • Retirement due to incapacitation: Employee having physical or mental disorder which is certified by a medical board can get retirement from service. Employee can apply for retirement from service or dRi management can terminate any employees due to mental or physical incapacitation.
  1. GRIEVANCE RESOLUTION

Employees of dRi are requested to perform their duties and responsibilities following working policies and standard.  dRi management will create and maintain a congenial working atmosphere for its staff and employees wherein good relationship among every employee is ensured. A grievance refers a charge to dRi policy, rules, regulations, value, standard have been applied erroneously. If any grievance is raised within the environment of dRi, the matter must be dealt with a systematic procedure of dispute resolution.

 

14.1. Procedures

dRi management shall apply hierarchical system in dealing with complaints. Each employee will submit complaint in a approved grievance form (See Annexure-09(a)) to Manager, Admin for any kind of grievances. It is forbidden to submit any request or application directly to dRi top management (Director and above). Every level of authority shall forward such request or application to the next level with the appropriate comments.

14.2. Manager Administration

Manager will review employee’s submitted grievance and discuss with complainer and person accountable for grievance. Manager will arrange a primary inquiry of grievance. He can collect opinion from other employees. Whatever the outcome, satisfactory or not, afterwards of primary inquiry, manger will refer the report with recommendation to Chief Financial Officer. (See Annexure-9(b))

14.3. Finance and Administration

Head of Finance and Administration will verify every parts of the inquiry report. Finance and Administration will not continue further investigation if it finds grievance is settled. On this occasion only, the Administration Department keeps all papers relating to grievance resolution for recording in the log of grievance cases form (See Annexure- 9(c) and put in the employee file).

If no satisfactory resolution was reached, the Chief Financial Officer will accomplish the following activities:

» Listen to the grievance from the employees and review the circumstances.

» Furnishes a solution and takes his decision.

» Write a report with proposals to take action and refer it to Chief Executive Officer. (See- Annexure-9(d))

14.4. Chief Executive Officer

» Scrutinize the grievance procedure;

» See the comments of previous investigation;

» Can talk employees and investigation officer of every inquiry level if Chief Executive Officer wishes;

» Initiate an appropriate action using his intuition;

» Take the decision that is final

14.5. Time period for Grievance

Whatever the circumstances, the entire grievance procedure from start to end will be completed within 30(thirty) working days.

  1. EMPLOYEE RECORD

Employee records will be kept confidentially by the Administration Department of dRi. The Chief Financial Officer will ensure that personnel files are complete, accurate and current, and that their privacy is protected at all times.

These records include pertinent documents such as appointment letters, performance evaluations, grievance application, personnel actions, resumes, discipline record, memos to the file and any other information relating to employee’s employment.

 

  1. OCCUPATIONAL HEALTH AND SEFETY

This policy of dRi management is for the protection of health, safety and welfare of co-workers, family members, employers, clients, and many others who might be affected by the workplace environment and make sure a healthy, secured working environment. The intention of Occupational Health and Safety Policy covers:

  • Guarantee of a safe and healthy place of work for dRi employees;
  • The upgrading of working environment and work to become encouraging to security and health;
  • Advancement of work organizations and working cultures in a direction which supports protection at work; it promotes a positive, smooth operation and may increase output of the actions.
  • Reduction of all kinds of workplace hazards that risks health and safety of the employees.
  • lessening, minimizing and preventing incidences of occupational injuries and illnesses;
  • Certainty that dRi has proper processes and procedures in place to respond to occurrences, accidents, injuries, and
  • Ensuring full compliance of all applicable legislation regarding workplace health and safety.

16.1. Monitoring

Responsible department for monitoring organizational performance and compliance on occupational health and safety is Administration of dRi. Chief Financial Officer can form a committee to monitor the compliance of security measures within the organization. Head of the committee will be Chief Financial Officer. The Committees will provide suggestions and recommendations to the Administration Department including any health and safety concerns or issues that employees may have within their workplaces.

  1. TRAINING

The training program of dRi will be arranged in terms of:

  • Organization’s goals.
  • Specific tasks.
  • Engaged People.

 

17.1. Organization’s goals

It focuses on what management thinks to get out of the training program. The training may be about technological orientation, program development methods or research methodology. How far the training program supports dRi objectives is a significant question of consideration. Apart from that it raises the need of resources for training in terms of money, time, and personnel.

 

17.2. Specific tasks

This highlights explicit task to be trained. This also indicates what is going to change as a result of training.

 

17.3. Engaged People

The most important part of training program is to select right person for training program. Trainee shall be those who are responsible for the implementation of entire task.

 

  1. PERFORMANCE APPRAISAL

The purpose of performance appraisal is to know employees’ talents, potentials, knacks, skills, and adeptness to perform current job responsibilities. It also assesses development of employees’ present condition for further works. The performance appraisal is made on an annual basis (from January 1st to December 31st).

Each employ will submit their annual completed tasks to the higher authority. Higher authority will evaluate annual performances of individual employee and prepare an appraisal report.

ANNEXTURE

Annexure-01

Development Research Initiative

Recruitment and Selection Form

Year-20…

SL No Department Position Expected Qualification Starting Date Estimated Salary
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           

 

…………….……………………….              ……………………….                  ………………………

Director Research             Chief Financial Officer    Chief Executive Officer

Annexure-2

Development Research Initiative

Application Form for Employment

Application for the post of: ………………………………….

Personal Details:

Name: …………………………

Date of Birth: ……………………………….

Place of Birth: ………………………………….

Present Address: ……………………………………….

Permanent Address: ………………………………………

Telephone (Residential): …………………………

Telephone (Office): ………………………………….

Mobile: ………………………………….

Marital Status: …………………………

Gender: ………………………………

Age: …………………………

Nationality: …………………………

Religion: …………………………

Present Employer: ……………………….

Present Title: ……………………….

Education: Starting from the latest degree.

Examination Department Institution Result Year

 

 

       

 

 

       

 

 

       

 

 

       

 

Professional Development Courses/Training:

Serial No. Courses Duration Place
       
       
       
       
       
       
       
       

 

Employment Record:

Applicant shall briefly list all employers:

Date Employer and Address Title Job Description Reason for Leaving
From To
           
           
           
           
           
           

 

Present Salary Status:

Monthly (BDT or Others) Annual (BDT or Others) Taxes (BDT or Others)
     

 

Fringe Benefits (Details Please): ……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..

Expected Salary: ………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

Language Capability:  start with native language first.

 

Scale:  1= Expert; 2 = Intermediate; 3 = Moderate

 

Language Written Spoken Reading
       
       

 

Experience in Research, Publications or Writing (If Applying for a Research Position):

 

……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..

 

Additional Activities and Interests:

 

Please tell us about your main interests and hobbies outside work:

……………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..

 

Membership of any Social or Cultural Organization:

 

………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………

 

Medical History (please give brief details and dates of any serious illness, operation and disabilities): ………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………………..

Reference:

Employers and person are well known to you:

Name Profession Address Contact No
       
       

 

Declaration:

I hereby declare that the statements contained in this form are, to the best of my knowledge, true and complete in every respect, and that no material facts have been misrepresented, withheld or suspected.

Should I be employed by dRi, I agree to comply with rules and regulations of dRi. I understand that dRi has the rights to change its rules and regulations at any time.

Signature of applicant: ………………………………. Date: …………………………………………

Annexure-3

 

Development Research Initiative

Employment Notice

 

Ref:                                                                               Date:

 

Name: …………………………….           Designation: ……………………………….

Department: ………………………                 Employee ID No: ………………………

Nationality: ………………………                   Religion: ………………………………………………….

Contract Duration:         From: …………………… To: ………………….

Effective Date: ………………………… Expiry Date: ……………………………….

Basic Salary: ………………………………….

House Rent: ……………………………

Conveyance: …………………………….

Other Allowance:

………………………………………………………………………………………………………………………………………………………………………………………..

End of Probation Period: ………………………………….

Note: ……………………………………………………………………………………………………………………………………………………………………………..

……………………………………………………………………………………………………………………………………………………………………………………….…………………………………………………………………………………………………………………………………………………………………………………………………………………..…………………………………………………………………………………………………………………………………………………………..

Manager Admin   Chief Financial Officer  Chief Executive Officer

Copy to:

» Finance and Administration

» Departmental Head

» Employee’s File

Annexure-04

Development Research Initiative

Employee Acknowledgement Note

Name: ……………………………………

Nationality: ………………………………

Religion: ……………………………………………..

Type of recruitment: ……………………………………

ID No: …………………………………….

Date of Issue: …………………………………

Place of Issue: ……………………………

I declare that I have read and accepted the dRi’s Policies and Regulations.

Name:                                                                     Signature:

Date:

Annexure-05

 

Development Research Initiative

Employee Card

Photograph

Name: ………………………………….

ID No: ………………………………

Job Title: ……………………………

Department: ………………………….……

Office Telephone: ………………………………

Mobile: ………………………….

E-mail: ……………………………….

 

Annexure-06

                                                                                  

Development Research Initiative

LEAVE APPLICATION FORM

To……………………………………………………………                                                                  Date:……………………………………

Applicant’s Name:……………………………………………………………………………………………………………..PIN………………………..

I sick approval for leave from………………………………………..to……………………………….for a total of…………………days

Remaining leaves: ………………………………………….Leave Type: ………………………………………………

Cause of Leave: …………………………………………………………..

…………………………………………………………

Applicant’s Signature

Address during Leave with phone number.                              Designation:

Department/section:

……………………………………………………………….

……………………………………………………………….

………………………………………………………………

………………………………………………………………                         ……………………………………………………………………….

Head of the Section/ Department                                  Signature of Leave sanction authority with Seal.

JOINING REPORT

Joining Date as per the leave application………………………………………

Actual Joining Date……………………………………………………………………….

……………………………………                                                                        ………………………………………..

Applicant’s signature                                                                                                  Authorized signature

Annexure-07(a)

 

Development Research Initiative

Monthly Attendance Report

Name: ……………………………………                  Designation: ………………………………………….

Department: …………………………..                 Month: …………………………………………………..                                                               

Date Name Designation Department Present Days Late Present Days Remarks
             
             
             
             
             
             
             
             
             
             
             
             
             

 

……….……                                                                                        ……………..

Manager Admin                                                                          Chief Financial Officer

 

Annexure-07(b)

Development Research Initiative

Monthly Absence/Leave Report

Name: …………………………………….                 Designation: …………………………………………..

Department: …………………………….                Month: …………………………………………………..                                                               

Date Name Designation Department Absence Days Leave Remarks
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             

 

………….……                                                                             ……………………….

Manager Admin                                                                          Chief Financial Officer

 

Annexure-08

Development Research Initiative

Employee Departure Checklist

Departing employee’s name: __________________

Departure date: __________________

Supervisor’s name: __________________

Person responsible for completing this checklist: __________________

Signature:                                                     Date:

Checklist:

  • user ID to be deleted or disabled on;
  • delete personal files in employee’s network folder;
  • delete personal files in employee’s laptop/desktop
  • disable or delete Windows login account on personal desktop/laptop
  • remove access or delete other passwords
  • Disable or delete e-mail account on
  • Update staff and department lists
  • Remove references to employee from Web sites
  • Seek return of all firm property:
  • Laptop
  • Cell phone
  • Security pass (notify building security staff)
  • Building and office keys (consider changing locks)
  • Desk, file cabinet or file room keys
  • Parking pass
  • Petty cash advances
  • Other office equipment (specify): __________________

 

Annexure 9(a)

Development Research Initiative

GRIEVANCE FORM             

(To BE COMPLETED BY THE EMPLOYEE LODGING THE GRIEVANCE)

Ref.

Name of Employee………………………………………………… ID No.: ………………….

Job Title…………………………………………………………………………………………………………………..

Department………………………………………………………………………………………………………………

Date of Joining…………………………………………………………………………………

Date of previous complaint (if any): ………….………………………………………

Cause of the Grievance: …………………………………………………………………………

…………………………………………………………………………………………………………………………….

……………………………………………………………………………………………………………………………….

Solution Requested……………………………………………………………………………

…………………………………………………………………………………………………………………………….

……………………………………………………………………………………………………………………………….

Signature of Employee………………………………………… Date………………………

 

Annexure-9 (b)

Development Research Initiative

GRIEVANCE REPORT

 

(TO BE COMPLETED BY THE MANAGER ADMIN)

Ref.

Date Received…………………………………………..

Date of Inquiry…………………………………………

Names (with initial) of all persons present at Inquiry…………………………………….

…………………………………………………………………………………………………………………………………………………

Brief Summary of Inquiry (use additional paper is required): ……………………………………………..

Signature of Complainer……………………………………………………Date…………………………………

Signature of person accountable for grievance: ………………………….. Date………………………………

Outcome of Inquiry: …………………………………………………………………………………………………….

……………………………………………………………………………………………………………………………………………….

………………………………………………………………………………………………………………………………………………..

Recommendation: ……………………………………………………………………………………………………..

……………………………………………………………………………………………………………………………………………….

I confirm that I now request this grievance report to be referred to the Chief Financial Officer.

 

Signature of Manager…………………………………… Date…………………………

 

Annexure-9(c)

Development Research Initiative

GRIEVANCE RECORD

 

(TO BE COMPLETED BY ADMINISTRATION DEPARTMENT)

Ref.

 

SL No Date Initiated

Employee

Name (Complainer)

Title & Dept.

 

Employee

Name (Accountable)

Title & Dept.

 

Level of Settlement and Resolution
CFO CEO

 

 

             

 

 

             

 

 

             

 

 

             

 

 

             

 

 

             
           

 

 

 

ADMINISTRATION DEPARTMENT:

 

Annexure-9(d)

 

Development Research Initiative

GRIEVANCE REPORT

(To be completed by Chief Financial Officer)

Ref.

Date Received…………………………………………..

Date of Inquiry…………………………………………

Brief Summary of Inquiry (use additional paper is required): ………………………………………..

……………………………………………………………………………………………………………………………….

……………………………………………………………………………………………………………………………….

……………………………………………………………………………………………………………………………….

Recommendation: …………………………………………………………………………………….

………………………………………………………………………………………………………………………………

………………………………………………………………………………………………………………………………

………………………………………………………………………………………………………………………………

 

I confirm that I now request this grievance report to be referred to the Chief Executive Officer.

Signature of Chief Financial Officer ………………………………….. Date…………………………

Annexure-10

 

Development Research Initiative

LOCAL TRAVELING BILL

 

Name:  ___________________________________ Designation: Project:_______________________________________________________________

 

 

Date

FROM TO

 

PURPOSE

 

Transport

 

Distance

 

Taka

Place Time Place Time
                 
                 
                 
                 
                 
                 
                 
                 
                 
                 
Total (in word): Sub-Total      
  Other Expenses: (on reverse page)  
  Total Bill  

 

______________________                                                                           _____________________

Signature of Applicant                                                                                    Authorized Signature

Date: ……………….                                                                                     Date………………..

 

Development Research Initiative

OTHER EXPENSES

DATE DETAIL DESCRIPTION TAKA
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
     
Sub-Total  

[1] Authority will take the decision in this regard.