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Missions Interlink

External Conduct Standards

Rebecca Lambert-Smith, Team Leader Jacob Wood, Lawyer

6 February 2020


What we will cover today

• Quick refresh of External Conduct Standards (ECS)

• How to comply:• Reviewing your operations

• Assessing risk

• Determining “reasonable steps”

• Drafting a compliance plan

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Missions Interlink External Conduct Standards project


SummaryExternal Conduct Standards

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An opportunity for Missions Interlink members to review and improve governance of overseas operations, preserving the integrity and sustainability of overseas Christian mission.


Activities and control of resources

Annual Review and Record Keeping

Anti-Fraud and Anti-Corruption

Protecting Vulnerable Individuals

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Do the ECS apply?

Do you conduct or fund any activities outside of

Australia?

Do you conduct or fund any activities outside of

Australia?

Does the funding or activities benefit

people or purposes outside of Australia?

Does the funding or activities benefit

people or purposes outside of Australia?

Do you collaborate with any non-ACNC third parties to conduct activities outside

Australia?

Do you collaborate with any non-ACNC third parties to conduct activities outside

Australia?

Are the overseas

activities incidental to

activities in

Australia?

Are the overseas

activities incidental to

activities in

Australia?

External Conduct Standards ApplyExternal Conduct Standards Apply

ECS don’t applyECS don’t apply

ECS don’t apply

ECS don’t apply

ECS don’t

apply

ECS don’t

apply

Are you a charity registered with the

Australian Charities and Not-for profits

Commission (ACNC)?

Are you a charity registered with the

Australian Charities and Not-for profits

Commission (ACNC)?


How to complyExternal Conduct Standards

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ECS 2 – Annual review and record keeping

Obtain and keep records on a country by country basis including:

• Activities

• Expenditure

• Processes and procedures

• Partners

• Complaints, risks, liabilities and breaches of law


ECS 2 - Record Keeping Checklist

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Principles-based standards:

ECS 1, 3 and 4

Review your organisation's overseas operations and partners

Assess the risk of overseas operations

Determine what are “reasonable steps” to mitigate those risks

Draft and implement a compliance plan


Review your operations and partnersExternal Conduct Standards

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Information gathering

You Countries Activities Partners Controls

Experience in delivering similar programs

Employees

Capacity

Countries you operate in

Social, cultural, political and religious context

Scale and nature of activities

Who delivers programs?

Who benefits from programs?

Resources

Who you work with

Who they work with

What agreements are in place?

Relationship

Policies and procedures

Financial controls

Agreements

Relationship


Identifying existing controls helps determine if you are already addressing some or all of the ECS

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Assess riskExternal Conduct Standards


The purpose of risk management is to identifypotential events that may impact on an entity, quantify the impact and likelihood of the occurrence and then manage the risk in accordance with the organisation’s risk appetite

- Australian Compliance Institute Sydney, 2010, Quick Guide to Compliance, Ethics, Governance, Risk and Corporate Social Responsibility, 3rd Edn

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Activities/resources used in way

inconsistent with purpose and

character

Failing to comply with extraterritorial

laws

Financial impropriety Unknown or undocumented

conflict of interest

Harm to vulnerable persons

What risks?


Likelihood and consequence

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Risk Assessment


Determine “reasonable steps” External Conduct Standards

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Reasonable steps


Reasonable steps must be tailored to your organisation's operations and context

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Draft and implement a compliance planExternal Conduct Standards


• Collate “reasonable steps” into a trackable document• Include:

• Priority• Budget• Timeline• Responsibility• Reporting to the Board

• Review

Compliance plan

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Stick to your compliance plan and you can demonstrate that you have taken reasonable steps to address ECS related risks.


What we will cover next webinar

Tools to help with “reasonable steps”

Working with third parties (including template MOU)

Template Policies

Q&A

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