A Code of Good Practice on Policy Dialogue
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Building on An Accord Between the Government
of Canada and the Voluntary Sector
Developed by the Joint Accord Table
of the Voluntary Sector Initiative
October 2002
Table of Contents
- Why a Code?
- Principles
Underpinning the Code
- Context: The
Stages of the Public Policy Process
- Good Practices:
The Code in Action
- Moving the Code
Forward
Appendices
1. WHY A CODE?
Signed in December 2001, An Accord
Between the Government of Canada and the Voluntary Sector
describes the key elements of a strengthened relationship between
the two sectors. It sets out common values, principles and commitments
that will shape the sectors’ future practices as they work together
for the benefit of all Canadians.
This Code of Good Practice on Policy Dialogue
fulfils the Accord’s commitment to take measures to put its provisions
into action. As such, the Code is a tool for deepening the dialogue
between the Government of Canada and the voluntary sector at the
various stages of the public policy process in order to achieve
better policies for Canadians.
1.1 Link to the Accord and Purpose of
the Code
Specifically, this Code has been developed
in accordance with the provision in the Accord calling for “codes
or standards of good practice to help guide interactions between
government departments and voluntary sector organizations on aspects
of the relationship such as policy dialogue, funding, and other
issues as identified.”
As summarized below, the Accord also contains
a number of commitments by the Government of Canada and the voluntary
sector related to policy dialogue:
- The Government of Canada recognizes
the need to engage the voluntary sector in open, informed and
sustained dialogue in order that the sector may contribute its
experience, expertise, knowledge, and ideas in developing better
public policies and in the design and delivery of programs.
It also recognizes and will consider the implications of its
legislation, regulations, policies and programs on voluntary
sector organizations including the importance of funding policies
and practices for the further development of the relationship
and the strengthening of the voluntary sector’s capacity.
- The voluntary sector is committed
to serving as a means for the voices and views of all parts
of the voluntary sector to be represented to and heard by the
Government of Canada, ensuring that the full depth and diversity
of the sector is reached and engaged.
- Both the voluntary sector and the
Government of Canada recognize that sharing ideas, perspectives,
and experiences contributes to better understanding, improved
identification of priorities, and sound public policy, and agree
that dialogue should be open, respectful, informed, sustained,
and should welcome a range of viewpoints.
In addition, the Code builds on the values
of democracy, active citizenship, equality, diversity, inclusion
and social justice, and the principles of independence, interdependence,
dialogue, co-operation and collaboration and accounting to Canadians,
which are the basis for the Accord (see Appendix
1).
As set out in the Accord, this Code is
designed to strengthen and improve the relationship between the
voluntary sector and the Government of Canada. It confirms that
the two sectors are committed to deepening their dialogue in order
to create better public policies for the benefit of Canadians.
The Code also affirms the importance of a respectful, transparent
and inclusive policy dialogue that acknowledges the independence
and interdependence of both sectors.
While the voluntary sector and the Government
of Canada share a long tradition of joining forces to achieve
common goals, formalizing their relationship will help promote
mutual understanding and more co-operative ways of working together.
This Code is about building that relationship, seeking common
ground and accepting one another’s differences. It is about cultivating
a strong civil society and a federal government connected to citizens
by encouraging broad engagement and inclusiveness to ensure that
the voluntary sector – including marginalized groups – knows its
views are both heard and considered.
In adopting the best practices outlined
in this Code, both sectors will be seeking to improve public policies
by achieving the following positive outcomes:
- increased co-operation between the
Government of Canada and the voluntary sector;
- increased opportunity for dialogue
throughout the public policy process;
- systematic review by the federal government
of major policy and program proposals using a voluntary sector
“lens” or analytical framework designed to ensure appropriate
and adequate consideration of the impacts and implications for
the voluntary sector;
- development and use of mechanisms to
engage in dialogue about the issues and concerns of the diverse
voluntary sector, including harder-to-reach groups;
- information that is more readily available
and accessible; and
- better understanding of one another’s
broad policy objectives and the role that each can play in furthering
these objectives.
1.2 Definitions
The Code uses the following working definitions:
- Public Policy: a set of inter-related
decisions, taken by public authorities, concerning the selection
of goals and the means of achieving them.
- Public Policy Dialogue: interaction
between governments and non-governmental organizations (in this
Code, the voluntary sector) at the various stages of the policy
development process to encourage the exchange of knowledge and
experience in order to have the best possible public policies.
- Public Policy Development: the
complex and comprehensive process by which policy issues are
identified, the public policy agenda is shaped, issues are researched,
analyzed and assessed, policies are drafted and approved and,
once implemented, their impact is assessed.
1.3 The Importance of Policy Dialogue
Between the Two Sectors
Policy dialogue between the Government
of Canada and the voluntary sector is essential to ensure that
policies benefit from the sector’s experience, expertise, knowledge
and ideas.
The voluntary sector plays a crucial role
in representing the views of its stakeholders to the Government
of Canada, in particular, those of unheard and minority voices.
In fact, much of the voluntary sector’s strength derives from
the diversity of its membership and sources of support. Reflecting
the many faces of Canada, the people who work and volunteer in
the sector are drawn from a range of backgrounds and bring with
them a wealth of unique abilities and experiences. To be effective,
the public policy process must recognize and value this diversity.
Another strength of voluntary sector organizations
is that they are close to the experience, interests and concerns
of their constituents, a connection that gives them an important
perspective on policy issues affecting the lives of Canadians.
They also play an important role in raising awareness, building
common ground and achieving consensus. This process of dialogue
and deliberation is one in which participants can feel confident
that their views have been heard and taken into account.
Informal dialogue on a day-to-day basis
is a vital dimension of the public policy process at all stages,
especially before policy options are identified and developed.
One of the aims of this Code is to encourage interaction between
the voluntary sector and the Government of Canada, especially
at the earliest stages, before options have been determined.
1.4 Scope and Application of the Code
This Code applies to existing and future
policy dialogue between federal government departments and agencies
(including their regional organizations) and the voluntary sector
organizations that they work with, at both the national and local
levels. As a tool to be used by those who are involved in policy,
this Code is expected to evolve over time. Moreover, it will be
subject to regular review within the context of the Accord, which
calls for regular meetings between Ministers and sector representatives
to discuss the results that have been achieved.
The focus of this Code is on the relationship
between the Government of Canada and the voluntary sector, and
how the principles of their joint Accord apply to policy dialogue.
That being said, both sectors recognize that their relationship
is only one part of the broad public policy process. For its part,
the federal government has a responsibility to consider many sources
of input when developing policy, including the voluntary sector,
other levels of government (provincial, territorial, local), private
sector entities and labour unions. For example, the realities
of constitutionally-based federal-provincial and territorial relationships
are imbedded in many of the Government of Canada’s policy initiatives.
Furthermore, the Code recognizes the particular role played by
the Parliament of Canada in representing the views of Canadians,
debating the policy and legislative agenda of the government,
and ultimately determining the laws and fiscal parameters that
give effect to that agenda.
At the same time, the voluntary sector
has a number of ways that it can influence and comment on policy,
one of which is through dialogue with the Government of Canada.
The voluntary sector contributes to public policy-making in many
areas of responsibility, including with governments at all levels
and with other sectors of society.
Both the Government of Canada and the
voluntary sector are committed to the full application of the
Code, over time, to those policy issues on which they choose to
work together. Both sectors recognize that there will be variations
in the pace and manner in which the Code is applied. Furthermore,
both acknowledge that the nature of the issues under consideration
will influence the extent of the interaction. They recognize that
there are circumstances where the Government of Canada and voluntary
sector organizations may advocate different courses of policy
action or choose to tackle issues of common interest separately.
The Code does not compel them to work together; rather it outlines
what will govern the relationship when they choose to work together.
Many departments and agencies and voluntary
sector organizations are already using many of the practices outlined
in the Code. Others are at different stages. All share a commitment
to be guided by these good practices.
2. PRINCIPLES UNDERPINNING THE CODE
Building on the Accord, this Code is based
on the following shared principles:
The Voluntary Sector’s Value
A healthy and active voluntary sector
plays an important role in helping the federal government identify
issues and achieve its public policy objectives. By its very nature
and particularly because of its connection to communities, the
voluntary sector brings a special perspective and considerable
value to its activities, including those it undertakes with the
Government of Canada.
Mutual Respect
Both sectors will listen to and consider
the views of all participants and respect their legitimacy and
input.
Inclusiveness
Both sectors will involve the broadest
possible range of groups or individuals who may be affected by
a policy or who can make a meaningful contribution to the debate.
Increasingly, policy development must take account of the specific
needs, interests and experiences of the diversity of the voluntary
sector including, for example, groups representing women, visible
minorities, persons with disabilities, Aboriginal people, linguistic
minorities, sexual orientation, remote, rural and northern communities
and other hard-to-reach subsectors. Policies must also respect
the Canadian Charter of Rights and Freedoms, the Canadian
Human Rights Act, the Employment Equity Act, the Official
Languages Act, the Multiculturalism Act and the United
Nations Universal Declaration of Human Rights, as well as
Canada’s obligations as a signatory of relevant international
treaties and conventions, for example, on the rights of children,
women and indigenous peoples. Policies must also respect all amendments,
extensions or replacements to these laws and policies.
Accessibility
Both sectors will take the appropriate
measures to ensure that all those invited to participate in a
dialogue have access to the process. This will take account of
factors such as language, region, distance, ethno-culture, religion,
socio-economic background, age, knowledge or capabilities.
Clarity
Recognizing that a clear mutual understanding
of the objectives, purpose and process of participation and feedback
is vital, both sectors will establish the terms of the policy
dialogue in advance and communicate them to participants.
Transparency
To build trust, both sectors will establish
open lines of communication, provide information readily and invest
in working relationships. Participants must clearly understand
the context within which each decision will be made, including
the scope of and limitations on dialogue.
Responsibility
Both sectors will participate in good
faith and recognize that adequate resources and time are required
for an effective process.
Accountability
Both sectors will provide feedback to
their respective constituencies on the full range of views expressed,
and clearly communicate how this input has been considered in
the public policy process.
3. CONTEXT: THE STAGES OF THE PUBLIC
POLICY PROCESS
Dialogue between the Government of Canada
and the voluntary sector will take place at the various stages
of the public policy process (see diagram in Appendix
2). These stages are described briefly below.
Some activities, such as consultation
and engagement, cut across the policy development process and
can be used in a variety of ways at each stage. Similarly, advocacy
can be used at the various stages of the public policy process
as a strategy to effect change. Advocacy is defined as “the act
of speaking or of disseminating information intended to influence
individual behaviour or opinion, corporate conduct, or public
policy and law.”1
[1. Working Together: A Government
of Canada/Voluntary Sector Joint Initiative: Report of the Joint
Tables, Voluntary Sector Task Force, Privy Council Office, Government
of Canada, August 1999.]
Issue Identification
Voluntary sector organizations can play
a particularly valuable role in the identification of emerging
policy concerns. The federal government respects the voluntary
sector’s advice, which is based on direct experience and relationships
and involvement with members of organizations and communities.
Because of their grassroots involvement, particularly in service
delivery, voluntary sector organizations may become aware of trends
or emerging issues before the federal government. Strengthening
the sector’s participation in governmental or departmental policy
development processes and mechanisms – such as policy scanning
and planning exercises, advisory mechanisms and international
delegations – can help in the process of issue identification.
Through advocacy initiatives, voluntary sector organizations can
also play a key role in drawing public attention to emerging issues.
Agenda-Setting
Issues come onto the public policy agenda
from various sources, including: political platforms, research
and analysis, academe, the private sector and voluntary sector
organizations. Based on its in-depth knowledge and understanding
of emerging and important issues, the voluntary sector can bring
key information to the development of public policy priorities.
Dialogue between the Government of Canada and the voluntary sector
during the agenda-setting stage serves to inform the sector of
how it can participate most effectively in the public policy process.
Policy Design
The voluntary sector can contribute its
ideas, knowledge, expertise and experience to the various steps
in public policy design, including research, analysis, drafting
and testing models, and developing design options.
Implementation
The voluntary sector can play a role in
proposing appropriate policy implementation approaches and mechanisms
that reflect and enhance policy goals. The voluntary sector’s
experience in the delivery of various programs and services, as
well as its long-standing connections to communities, are vital
to the success of this work.
Monitoring
The voluntary sector can play an important
role in the ongoing monitoring of policy delivery and operation
initiatives and in identifying the need for changes in policy
direction.
Impact Assessment
Based on its experience, expertise and
knowledge in the delivery of programs and services, the voluntary
sector can play a valuable role in assessing the impact of policy
at both the national and local levels, and in making recommendations
for change.
4. GOOD PRACTICES: THE CODE IN ACTION
This Code is intended to encourage good
practices at the various stages of the public policy process,
throughout the Government of Canada and the voluntary sector at
both the national and local levels. These good practices are founded
on shared principles and are aimed at effecting changes in behaviour
that will result in better policy. The following list is not exhaustive
nor is it ranked in order of importance. Both sectors will be
expected to look for new ways to continuously enrich the dialogue
and the Code will evolve to reflect these new good practices.
4.1 Good Practices for Both Sectors
The Government of Canada and the voluntary
sector commit to:
- engage in an open, inclusive and ongoing
dialogue through the various stages of the public policy process,
including issue identification, agenda-setting, policy design,
implementation, monitoring and impact assessment;
- identify and allocate resources and
time to policy activities;
- ensure appropriate and significant
representation from across the voluntary sector;
- develop and strengthen knowledge and
policy capacity to promote more effective dialogue during the
policy process and deepen understanding of their respective
issues and processes;
- be aware of the policy implications
of their experiences and activities, and inform one another
of important conclusions; and
- ensure that assessment takes into account
the differing regional impacts of policies.
4.2 Good Practices for the Government
of Canada
The Government of Canada commits to:
- develop ways (e.g., a voluntary sector
lens) to ensure that all departments and agencies recognize
and consider the impacts and implications for the voluntary
sector and voluntary sector organizations of new or modified
legislation, regulations, policies and programs;
- develop ways to engage in regular dialogue
to listen to concerns and issues identified by voluntary sector
organizations, and to make these methods of dialogue known;
more specifically, find mechanisms to encourage dialogue with
the voluntary sector in all its diversity, including those at
the grassroots level and those representing women, visible minorities,
persons with disabilities, Aboriginal people, linguistic minorities,
remote, rural and northern communities and other hard-to-reach
subsectors;
- draw on the full range of methods to
engage in a dialogue with the voluntary sector at the various
stages of the public policy process, including methods such
as written consultations, opinion surveys, focus groups, user
panels, meetings and various Internet-based approaches;
- to the fullest extent possible, make
appropriate statistical and analytical information – such as
survey data, research studies and policy papers – readily available
in accessible and useable formats to enhance the voluntary sector’s
capacity for analyzing and developing informed policy positions;
- respect and seek out the expertise
and input of the voluntary sector and include it in the analysis
and design of policy initiatives;
- make every effort to plan and co-ordinate
policy dialogue with the voluntary sector on related topics,
avoiding overlapping requests for participation in the same
time period;
- ensure that policy initiatives capture
the fullest spectrum of views and give due consideration to
all input received, paying particular attention to those likely
to be most affected by policy proposals;
- include opportunities for the voluntary
sector to discuss the rationale for and implications of decisions,
thereby building understanding and trust; and
- use appropriate means to ensure that
information about the results of dialogue and consultations
(e.g., final reports, approved policies) is made available to
those engaged in the policy process, so they know how their
input was used, including its impact on federal government proposals
or decisions.
4.3 Good Practices for the Voluntary
Sector
The voluntary sector and its organizations
commit to:
- develop and strengthen knowledge and
policy capacity in their areas of expertise;
- develop a better understanding of the
Government of Canada’s formal and informal policy development
process;
- take specific steps to ensure that
diverse groups within the sector are given an opportunity to
consider issues and provide input;
- represent the views of their constituents
and articulate their position clearly on particular issues that
they consider important;
- identify whose views are represented
when intermediary bodies express opinions on behalf of parts
of the sector regarding issues of major importance to its members,
supporters and users;
- where appropriate and where possible,
build consensus by improving co-ordination within the sector;
- perform an intermediary role on behalf
of sector organizations by: using a range of methods to extend
the dialogue’s reach; canvassing an organization’s members/users/volunteers
before presenting views on its behalf; and including a summary
of the views of the groups consulted and the methods of consultation
used;
- identify and maintain contact with
policy-makers and actively seek opportunities to share policy
ideas with them; and
- pursue opportunities to identify and
raise emerging issues to the attention of the Government of
Canada, including issues of local concern.
5. MOVING THE CODE FORWARD
The Government of Canada and the voluntary
sector are committed to broad outreach and communication of the
Code of Good Practice on Policy Dialogue. The Code is intended
to help representatives of both sectors improve their approach
to dialogue at the various stages of the public policy process.
The policies and practices in this Code are designed to help strengthen
the policy dialogue between the Government of Canada and the voluntary
sector.
To achieve these results, both the Government
of Canada and the voluntary sector must commit to using the Code
on an ongoing basis. As the guidelines established in the Code
are incorporated into daily and weekly practice, voluntary sector
and federal government representatives will, over time:
- discuss the Code and learn from one
another;
- work to adapt their policy practices
and approaches; and
- propose reforms to make the Code more
effective.
This Code describes an environment characterized
by continuous learning and improvement in which both sectors work
together to enhance their relationship with respect to policy
dialogue.
Results will flow from the increased use
of the array of good practices already in place, including those
proposed in this Code and those that will evolve with time and
experience. Understanding in both the Government of Canada and
the voluntary sector of their mutual commitment to achieve progress
together is key.
In An Accord Between the Government
of Canada and the Voluntary Sector, both sectors agreed on
the need to report to Canadians on the status of the relationship
and the results that have been achieved under the Accord. Assessing
the Code’s use and effectiveness as a tool in meeting the Accord’s
goals will require periodic review, discussion, analysis, evaluation
and reporting. This may result in modifications to the Code and
the establishment of new priorities.
Appendix 1: Description of the Voluntary
Sector, Values, Principles and Commitments to Action
DESCRIPTION OF THE VOLUNTARY SECTOR
The Accord Between the Government of
Canada and the Voluntary Sector describes the voluntary sector
as follows:
- This sector consists of organizations
that exist to serve a public benefit, are self-governing, do
not distribute any profits to members, and depend to a meaningful
degree on volunteers. Membership or involvement in these organizations
is not compulsory, and they are independent of, and institutionally
distinct from the formal structures of government and the private
sector. Although many voluntary sector organizations rely on
paid staff to carry out their work, all depend on volunteers,
at least on their boards of directors.
- The voluntary sector is large, consisting
of an estimated 180,000 non-profit organizations (of which 80,000
are registered as charities) and hundreds of thousands more
volunteer groups that are not incorporated. In 2000, 6.5 million
people volunteered their time to a voluntary sector organization
and the sector employed a further 1.3 million people. This diverse
multitude of organizations ranges from small community-based
groups to large, national umbrella organizations and includes
such organizations as neighbourhood associations, service clubs,
advocacy coalitions, food banks, shelters, transition houses,
symphonies and local sports clubs.
The Accord contains a number of references
relating to policy dialogue during the various stages of the public
policy process:
VALUES
The Accord identifies six values that
are most relevant to the relationship between the Government of
Canada and the voluntary sector:
- Democracy – upholding the
right to associate freely, to express views freely and to engage
in advocacy.
- Active Citizenship – welcoming
the active involvement or engagement of individuals and communities
in shaping society whether through political or voluntary activity
or both.
- Equality – respecting the
rights of Canadians under the Canadian Charter of Rights and
Freedoms and the Canadian Human Rights Act, and the rights of
individuals worldwide as defined by the United Nations Universal
Declaration of Human Rights.
- Diversity – respecting the
rich variety of cultures, languages, identities, interests,
views, abilities, and communities in Canada.
- Inclusion – welcoming the
expression and representation of diversity and upholding the
right of each to speak and be heard.
- Social Justice – ensuring
the full participation in the social, economic and political
life of communities.
PRINCIPLES
The Accord highlights the principles of
independence, interdependence and dialogue, which are relevant
to this Code:
Independence:
- The Government of Canada is accountable
to all Canadians for its actions and has a responsibility to
identify issues of national concern and mobilize resources to
address them, establish policies and make decisions in the best
interest of all Canadians;
- Voluntary sector organizations are
accountable to their supporters and to those they serve in providing
services, organizing activities and giving collective voice
at the local, national and international level;
- The independence of voluntary sector
organizations includes their right within the law to challenge
public policies, programs and legislation and to advocate for
change; and
- Advocacy is inherent to debate and
change in a democratic society and, subject to the above principles,
it should not affect any funding relationship that might exist.
Interdependence:
The voluntary sector and the Government
of Canada recognize that:
- The actions of one can directly
or indirectly affect the other, since both often share the same
objective of common good, operate in the same areas of Canadian
life, and serve the same clients; and
- Each has complex and important relationships
with others (business, labour, provincial, territorial and local
governments, etc.) and the Accord is not meant to affect these
other relationships.
Dialogue:
The voluntary sector and the Government
of Canada, recognizing that sharing of ideas, perspectives, and
experiences contributes to better understanding, improved identification
of priorities, and sound public policy, agree that dialogue should
be open, respectful, informed, sustained, and welcome a range
of viewpoints.
COMMITMENTS TO ACTION
The Accord includes the following commitments:
Government of Canada Commitments:
- Recognize and consider the implications
of its legislation, regulations, policies and programs on voluntary
sector organizations including the importance of funding policies
and practices for the further development of the relationship
and the strengthening of the voluntary sector’s capacity; and
- Recognize its need to engage the
voluntary sector in open, informed and sustained dialogue in
order that the sector may contribute its experience, expertise,
knowledge, and ideas in developing better public policies and
in the design and delivery of programs.
Voluntary Sector Commitments:
- Continue to identify important or
emerging issues and trends in communities, and act on them or
bring them to the attention of the Government of Canada; and
- Serve as a means for the voices
and views of all parts of the voluntary sector to be represented
to and heard by the Government of Canada, ensuring that the
full depth and diversity of the sector is reached and engaged.
Commitments by Both Sectors:
The voluntary sector and the Government
of Canada agree to develop in a timely fashion:
- Codes or standards of good practice
to help guide interactions between government departments and
voluntary sector organizations on aspects of the relationship
such as policy dialogue, funding, and other issues as identified.
Appendix 2
