2012 self-certification-plus compliance form_0

7/31/2019 2012 Self-Certification-Plus Compliance Form_0

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Organization: ___________________________________________

InterAction Self-Certification-PlusMember Compliance Reporting Form

ACCOUNTABILTY - TRANSPARENCY - EFFECTIVENESSInterActionOffice of Membership & Standards

1400 16thStreet, NW, Suite 210, Washington, DC 20036

202-667-8227 www.interaction.org

SCP 2012
http://www.interaction.org/http://www.interaction.org/


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Organization: ___________________________________________

Component I.A: Board Responsibility .............................................................................................................................................................................................. 2

Component I.B: Board Policies ........................................................................................................................................................................................................ 4

Component I.C: Fiscal Management And Accountability ................................................................................................................................................................. 5

Component I.D: Equal Access Rights ............................................................................................................................................................................................... 7

Component I.E: Organizational Integrity .......................................................................................................................................................................................... 8

Component I.F: Management And Human Resources ...................................................................................................................................................................... 9

Component II.A: Program Development ......................................................................................................................................................................................... 10

Component II.B: Fostering Human Rights ..................................................................................................................................................................................... 13

Component II.C: Program Quality Monitoring And Evaluation .................................................................................................................................................... 13

Component II.D: Accountability .................................................................................................................................................................................................... 15

Component II.E: Organizational Security Policy and Plans ........................................................................................................................................................... 15

Component II.F: Fundraising And Commitment To Accurate Disclosure ..................................................................................................................................... 16

Component III.A: Administrative And Management ..................................................................................................................................................................... 17

Component III.B: Advocacy And Public Policy .............................................................................................................................................................................. 22

SIGNATURE PAGE AND QUESTIONNAIR

COMPLIANCE CERTIFICATION FORM

TABLE OF CONTENTS

INTRODUCTION AND DIRECTIONS .............................................................................................................................................................................................. 1

SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDS ...................................................................................................................................... 2

SECTION II: PROGRAM STANDARDS ........................................................................................................................................................................................10

SECTION III: ORGANIZATIONAL COMMITMENT STANDARDS ........................................................................................................................................17


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Organization: ___________________________________________

2012 SelfCertification-Plus Compliance Form

P a g e | 1 Copyright 2012 InterAction Questions: Email [email protected] [email protected]

INTRODUCTION AND DIRECTIONS

This 2012 Self Certification Plus Compliance Formmust be submitted to InterAction by each member organization no later thanDecember 31, 2012. Thiscompliance process is mandatory for all InterAction members every other year and noncompliance will result in suspension from InterAction membership.

Although compliance with PVO standards is a self-regulatory process, it is an important mechanism for demonstrating the integrity and accountability of theNGO sector with donors, the public, and beneficiaries and also serves as a track record of members internal efforts to improve organizational accountability.

We have made some improvements to this years Self-Certification-Plus document based on our members feedback.We have modified the compliancequestions and the tick boxes in the column Compliance to correspond more accurately with each individual standards component.

Before you start completing your compliance document, please fill in your organizations name in the header section of the cover page. The name will thenprint out on each page. The actual document is in Microsoft Word word-wrapping format with boxes designed to expand as you fill them in. To check a

compliance box, double click on it and a window will open to allow you to change it to a checked box. The completed form, including the signature pageprovided at the end of this compliance form constitutes a completed certification document. We also ask you to complete the questionnaire to help us evaluatethe process.

The document explains each standard (I.A. through III.B) in the first column, Component, and proposes documentation to be gathered and reviewed forevidence of compliance in column two, Proposed Evidence. For each standard section and its related components, you must indicate in the third columnmarked Compliance whether or not your organization is in compliance with the required standard. If not in compliance you must explain an action plan toaddress areas of non-conformance in column four marked Action Plan if not in compliance. According to InterActions policy a member is given two yearsto either come into compliance with non-conformance to a standard or to demonstrate concerted movement toward coming into compliance in order to avoidpossible suspension from membership.

You must also annotate the documentation you used as evidence of compliance in column five, Documentation Gathered. We cannot confirm yourcompliance complete unless you indicate what documents you reviewed. Please note that we do not want you to send us the documentation you used asevidence of your compliance, but only to cite the documents in that column.

We encourage you to give your feedback on the exercise and suggestions for improving the process. If you have any questions or need additional clarificationon how to complete your report, please [email protected]@interaction.org.
mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]


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Organization: ___________________________________________



SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDSA member Organization shall be governed responsibly by an independent, active, and informed Board of Directors, and, if applicable, its duly constituted ExecutiveCommittee. (Source: 2.1, 2.2)

Component I.A: Board Responsibility

COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN

IF NOT IN COMPLIANCE

DOCUMENTATION

GATHERED

I.A.1The Organizationsboard shall act as theorganizations governing body,accepting responsibility foroversight of all aspects of theorganization.

(Source: 2.1, 2.4)

Copies of pertinent sections ofdocuments such as bylaws,charter, policies and proceduresthat vest the ultimate authorityin the board to act as theorganization's governing body

with responsibility forgoverning all aspects of theorganization.

Yes, have the requiredpolicy and procedures in place.

Policy missing, compliantin practice

Not in compliance

I.A.2The Organizationsboard policies shall specify thefrequency of board meetings(at least two meetings peryear), adequate attendance bydirectors (at least a majority ofdirectors on average), andvoting requirements. Records

of the meetings shall bemaintained. (Source: 2.2)

Copies of pertinent sections ofthe policy or bylaws thatspecify the frequency of boardmeetings, and define therequired attendance. Alsogather and document evidencethat the board meetings wereheld as planned and that formal

records of such meetings werepermanently maintained.

Yes, have the requiredpolicies, procedures andprocesses in place.

Not in compliance

I.A.3Policies and proceduresshall be in place to ensure thatthe activities are conductedwithin applicable laws.(Source: 2.7)

Document internal policies andprocedures that are in place tobe used to demonstratecompliance with all applicablelaws. If legal action has beeninitiated against theorganization within the lastthree years, document internalpolicies and procedures

Yes, have the requiredpolicyand procedures in place.

Not in compliance


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Organization: ___________________________________________



followed, and any actionstaken, to respond to and resolvelegal action.

I.A.4

The Organizationsboard shall exercise fiscaloversight of the organizationby:

a) Approving the annualbudget;

b) Appointing anindependent CertifiedPublic Accountant asauditor;

c) Receiving and reviewingthe annual, auditedfinancial statements,which comply withGenerally AcceptedAccounting Standards andRequirements accordingto the AICPA and theFASB;

d) Requesting and reviewinga management letter, if

applicable; ande) Reviewing the financialstatements and activitiesof the organization.

f) Appropriate records shallbe maintained.(Source: 2.5, 4.2)

The names of the boardmembers who are currentlyserving on the board's f inancialoversight committee, includingthe name of the organizationstreasurer, if applicable.Gather additional evidence, asappropriate, to verify theelements of the component.

Yes, have the requireddocumentation, evidence andprocedures in place.

Not in compliance

Note: Organizations with lessthan $100,000 annual incomesare not required to use anindependent auditor. (Source: 4.2) The board can executethese functions through the use

of various committees,including a financial oversightcommittee.

Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliancebox must be ticked and actionplan given in the Action Plancolumn.

I.A.5The Organization shallannually report to the publicbymeans of an annual report, or inseparate report formats:

Copies of all requireddocuments.

Yes, have the requireddocumentation available to thepublic.

Not in compliance


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Organization: ___________________________________________



a)Audited financialstatements,

b)IRS form 990 ifapplicable,c)List of current board

members,d)Other information that

may be helpful to thepublic in understandingthe organizationspurposes, goals, activitiesand results.(Source: 4.5)

Component I.B: Board Policies



DOCUMENTATION

GATHERED

I.B.1Documented boardpolicies shall:

a)Restrict the number ofemployees who are votingmembers of the board,

b)Provide limits fordirectors being related toone another, the founder,or the executive directoror president/chiefexecutive officer,

c)Establish limited terms ofservice for directors andofficers.(Source: 2.2)

Copies of the appropriatesections of the organization'spolicies and procedures thataddress the terms of service,restrictions on board membersrelationships and services by

employees, and boardmembers compensation and/orreimbursement for expenses.

Yes, have the requiredpolicies,documentation,procedures and/or processes inplace.

Not in compliance

Note: This restriction appliesonly to payment for services asa director and does not apply tosalaried employees who arealso directors. Reimbursementfor out-of-pocket expenses isnot considered compensation.Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliancebox must be ticked and action


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Organization: ___________________________________________



d)Prohibit compensation toboard members forservice as directors.

(Source: 2.2)

plan given in the Action Plancolumn.

I.B.2Organizations boardpolicy shallprohibit direct andindirect conflicts of interest,requiring that members of theboard and employees:

a)Disclose any affiliationthey have with an actual orpotential supplier of goodsand services, recipient of

grant funds, or organizationwith competing orconflicting objectives;

b)Absent themselves fromdiscussion and abstainfrom voting or otherwiseparticipating in a decisionon any issue in which thereis a conflict of interest; and

c)Refuse large or otherwiseinappropriate gifts for

personal use.(Source: 2.3)

Appropriate records shall bemaintained.

Those sections of theorganization's policies andprocedures that addresspotential conflict of interestsituations affecting boardmembers or employees, andcompile any additionalevidence that the organizationis complying with thesepolicies and procedures.

Yes, have the requiredpolicies and/or procedures inplace.

Not in compliance

Note: This standard does notrequire that the conflict ofinterest policy provides anexhaustive list of conflictsituations, but that such a

policy provides a frameworkfor determining when asituation would constitute aconflict. The managementmust report staff conflicts ofinterest to the board, reportmajor credibility risks to theboard, and train new boardmembers, employees andvolunteers on conflict ofinterest requirements.


Component I.C: Fiscal Management and AccountabilityThe Organizations finances are conducted in such a way as to assure appropriate use of funds. Appropriate records shall be maintained.(Source: 4.1)


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Organization: ___________________________________________





DOCUMENTATION

GATHERED

I.C.1The Organization shalloperate according to a budgetapproved by its board.(Source: 4.7)

Copy of the organization'sbudget for the current year.Minutes of board approving thebudget.

Yes, have the requireddocumentation.

Not in compliance

I.C.2The Organizationscombined fundraising andadministration costs shall bekept to the minimum necessaryto meet the organizationsneeds. (Source: 4.6)

Note: The organization should

set an internal target forfundraising and administrativeexpense that is appropriate tothe nature of its structure andprograms. These expensesshould generally not exceed35% of expenditures.(Source: 4.6)

The ratio or proportion of theorganization's total combinedfund-raising and administrativecosts to the total expendituresfor each of the past three years.

Yes, meet the required ratioand have the expenditures forthe past three years.

Not in compliance

I.C.3The Organization shallexercise adequate internalcontrols over disbursements to

avoid unauthorized payments,prohibiting any unauditabletransactions or loans to boardmembers and to staff. Thismay include descriptions ofprocurement policies andprocedures. (Source: 4.7)

Pertinent materials prepared bythe organization (includingmanagement letters and

conflicts of interest policies inassessing compliance withI.A.4 and I.B.2)

Yes, have the requiredmaterials, policies andprocesses in place.

Not in compliance

I.C.4The Organization shallfile Form 990 annually with theUnited States government.

Form 990 filed with the UnitedStates government during thepast three years. If no 990 isfiled, annual audited financial

Yes, have the requireddocumentation.

Not in compliance


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Organization: ___________________________________________



Note: Religious organizationsshould seek legal counsel toconfirm that they are exempt

by law from this component.(Source: 4.3)

statements shall be madeavailable.

Component I.D: Equal Access Rights



DOCUMENTATION

GATHERED

I.D.1The Organization shallensure that the fundamentalconcern of the organization isthe well being of those

affected, and that its programsassist those who are at riskwithout political, religious,gender or other discrimination.(Source: 7.1.6)

Copies of the organization'sinstructions, directives, policiesand/or procedures which directpersonnel to adhere to non-

discrimination practices in itseligibility decisions, and list theorganization's most recentpersonnel orientations,trainings and instructionalmaterial addressing non-discrimination.

Yes, have the requiredpolicies, procedures andmaterial in place.

Not in compliance

I.D.2The agency shall have awritten policy that affirms itscommitment to gender equity,to ethnic and racial diversity, to

the inclusion of people withdisabilities in organizationalstructures and in staff andboard composition. The policyshould be fully integrated intoan organizations plans andoperations, with a mechanismmandated by the CEO foroverseeing implementation.(Source: 2.6.1/2/3 and 7.2.1,7.3.1, 7.4.1)

Copy of the written policy andrelevant sections of operationalplans.

Yes, have the requiredwritten policy and proceduresand documents.

Not in compliance


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Organization: ___________________________________________



Component I.E: Organizational IntegrityThe affairs of the Organization are conducted with integrity and truthfulness. (Source: 3.1)



DOCUMENTATION

GATHERED

I.E.1Each director andemployee shall follow theorganizations written standardof conduct that provides that:

a) The organization opposesand does not act as awilling party to

wrongdoing, corruption,terrorism, bribery, otherfinancial impropriety, orillegal acts in any of itsactivities;

b) The organization takesprompt and firmcorrective actionwhenever and whereverwrongdoing of any kind isfound among its board

and employees; andc) The standard of conduct ismaintained despite possibleprevailing contrarypractices elsewhere.(Source: 3.2, 3.4)

A copy of theorganization's writtenstandard of conduct

A copy of the pertinentsection of theorganization's policies andprocedures which addresscorrective actions to be

taken in response tofounded wrongdoing byBoard members,employees, contractors andvolunteers.

Yes, have the requiredpolicies, documentation,procedures and/or processes inplace.

Not in compliance

Note: This standard requiresthat the organization has

documented policies orprocedures to guide itsinvestigation of, and correctiveaction to, different types ofwrongdoing. Thesedocumented policies orprocedures need not beexhaustive, but they shouldprovide a framework forinvestigative and correctiveaction. Records of the

investigations and correctiveactions shall be maintained.


I.E.2The organization willhave policies to address

Copy of the policy that protectsemployees who present



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Organization: ___________________________________________



complaints and prohibitretaliation againstwhistleblowers.

(Source: 3.3)

evidence of misconduct byindividuals associated with theorganization. Verify that

policies and procedures havebeen followed.

Not in compliance

I.E.3The organization willhave policies for documentretention and destruction thatensure protection of documentsduring an official investigation.(Source: 3.7)

Gather and review a copy ofpolicy.

Yes, have the requiredpolicy.

Not in compliance

Component I.F: Management and Human ResourcesTheorganization shallfollow management practices that are appropriate to its mission, operations, and governance structure. (Source: 6.1)



DOCUMENTATION

GATHERED

I.F.1The organization shallhave clear, well-defined,documented policies andprocedures relating to allUnited States employees,clearly outlining their rightsand benefits.(Source: 6.3, 6.3.1)

Personnel policies andprocedures or other documentsrelated to organizationaloperations.


Not in compliance

I.F.2The Organizationspolicies shall prohibitexcluding from participation,denying benefits, or otherwisesubjecting to discriminationany person on the basis of race,color, national origin, age,religion, disability or gender inany aspect of service deliveryand human resource practices.(Source: 2.6)

Policy that affirms theorganization's commitment toequal access to theorganization's services andprohibits discrimination by theorganization on the basis ofrace, color, national origin,age, religion, handicap orgender.

Track job applications to make


Not in compliance


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Organization: ___________________________________________



Note: If an organizationclaims exemption under section

702 of the Civil Rights Act of1984, the organization mayconsider religion in itsemployment practices.

sure all applicants have beentreated equally according topolicies and procedures.

Interview HR staff, ifnecessary.

I.F.3The Organization shallhave documented policies andpractices that support equal payfor equal work for women andmen in the United States.(Source: 6.4.1.5, 6.4.2.4)

Copy of the policies that affirmthe organizations commitmentto equal pay for equal work.

Yes, have the requiredpolicies.

Not in compliance

SECTION II: PROGRAM STANDARDS (Advocacy campaigns are considered as programs)

Component II.A: Program DevelopmentOrganizations field programs should empower institutions and facilitate popular participation and sustainable development. (Source: 7.1.1)



DOCUMENTATION

GATHERED

II.A.1The Organizationsprograms shall facilitate self-reliance, self-help and popularparticipation by empowering

individuals and communitiesand strengthening capacities oflocal structures. (Source: 7.1.1, 7.1.8) To this end, theorganization considers suchthings as appropriate includingthe programs potential for

individual and communityempowerment;

a)The potential of planned

Draft a concise butcomprehensive description ofthe organizations training

manuals and services or gather

and review a copy of materialcontaining this information.The following topics/materialsshould be covered andverified that training wasdocumented and delivered.Applicable organizationalpolicies and standards include:

Training manuals orguidelines for program


Not in compliance

Note: To achieve thisstandard, the organizations

program planning andimplementation must reflectefforts to foster mutuallybeneficial relationships amongpeoples from varied culturaland economic backgrounds.Program and senior staff


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Organization: ___________________________________________



activities to strengthen thecapacity of localstructures;

b)The capacity oflocal/regional institutionsto absorb financial andother inputsconstructively;

c)The potential tostrengthen the capacitiesof vulnerable groups,typically women,children, minorities, thedisabled, and the verypoor;

d)The potential of localresources to sustain theprogram;

e)Where resources exceedcapacity, the potential tocreate new structures suchas locally controlledfoundations or funds;

f) The potential effect uponlocal demand and marketsfor locally producedgoods and services;

g)The environment impact;h)The involvement ofappropriate stakeholdersfrom affected groups; andi) The programs potentialto advance the status ofwomen and theirempowerment.

(Source: 6.4.1.6; .1.7&7/1/8)

design, implementation,monitoring andevaluation

Gender analysis tools forprogramming

should be trained in genderanalysis for program planning,implementation and evaluation.

Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliancebox must be ticked and actionplan given in the Action Plancolumn. Includes advocacycampaigns/events/programsheld in the U.S.


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Organization: ___________________________________________



II.A.2 - Where appropriate,awareness of diversity issuesshall be incorporated into eachstage of the program process,from the review of projectproposals to implementationand evaluation, to ensure thatprojects foster participation andbenefits for all affected groups.The agency will collaboratewith partner NGOorganizations in the field tointegrate diversity issues intotheir programs.(Source: 7.3.2)

Program planning, proposaland program evaluationguidelines for review ofdiversity criteria.

Yes, have the requireddocumentation, proceduresand/or processes in place.

Not in compliance

II.A.3 - Agency programs andactivities should be held inaccessible locations to theextent feasible. Organizationswill provide training andconference materials inalternative formats asapplicable (Braille, sign-language interpreters, etc) andshould plan financially to

reasonably accommodatepeople with disabilities in theirprograms and activities.(Source: 7.4.3)

Review training site locationsand formatting of trainingmaterials developed over thepast year to assess and verifythat accessibilityconsiderations were followed.

Yes, have the requiredmaterials, procedures and/orprocesses in place.

Not in compliance

II.A.4For thoseorganizations operating in thefield, the organization shallgive priority to working with orthrough local and nationalinstitutions and groups,encouraging their creation

Develop a list of the entitieswith primary responsibility ineach country where theorganization operates. Gatherorganizational policy,guidelines and/or trainingmaterial about working in

Yes, have the requiredpolicy, materials, proceduresand/or processes in place.

Not in complianceNot applicable (if no field

operations)


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Organization: ___________________________________________



where they do not alreadyexist, strengthening themwhere they do and developingclearly and publicly statedcriteria for establishingpartnerships with such groupsand for fostering communityempowerment throughparticipation in the planning ofprograms and projects.(Source: 7.1.3)

partnership with localcommunity groups and/orinstructors.

Component II.B: Fostering Human Rights



DOCUMENTATION

GATHERED

II.B.1 - In its programactivities, the organizationrespects and fosters humanrights, both socio-economicand civil-political.(Source: 7.1.4)

The organization's instructions,directives, policies and/orprocedures that address theprivacy and dignity of programbeneficiaries.

Yes, have the requiredpolicies, procedures and/orprocesses in place.

Not in compliance

Component II.C: Program Quality Monitoring and EvaluationThe organization has established policies and procedures for ongoing monitoring and evaluation of its programs and projects, both qualitatively and quantitatively.

(Source: 7.1.9)



DOCUMENTATION

GATHERED

II.C.1The organizationsprocedures for programmonitoring and evaluation shalladdress the effective use ofinputs, including human andfinancial resources.(Source: 7.1.9)

Materials summarizing theorganization's procedures formonitoring and evaluating theeffective use of inputs.

Yes, have the requiredprocedures and/or processes inplace.

Not in compliance


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Organization: ___________________________________________



II.C.2The organization shallincorporate relevantmonitoring and evaluation(M&E) practices in its policy,systems and culture;

Conduct regular and deliberateevaluative activities to examineprogress towards its goals andmission; and apply adequatefinancial and human resourcesfor monitoring and evaluation.

Evaluation of completedprograms; meta-evaluation (orsynthesis) of evaluativeactivities.

Budget allocation or financialstatements showing allocationof resources for project andprogram monitoring andevaluation activities; humanresources (staff/consultant)with primary responsibility forM&E.

Yes, have the requiredpractices, procedures and/orprocesses in place.

Not in compliance

II.C.3For thoseorganizations with fieldoperations, the organizationshall have the capacity toprovide financial andperformance oversight at thelocal level, whether through afield office structure or throughpartnerships with local entities.

Note: This componentaddresses internalorganizational mechanisms thatassure appropriate, ongoingoversight of local/regionalprogram performance. Thiscomponent does not addressthe external audits performedannually by an independentcertified auditor.(Source: 7.9.14)

Gather and review selectionsfrom the following:

Design monitoring andevaluation standards andevaluation policy for programsand projects; documents whichshow adherence to professionalprinciples and standards,including encouraging theparticipation of communitiesand partners; an agency-wideM&E system.

Material summarizing theorganization's procedures forproviding oversight of programfinances and performance atthe local level. If any of thisoversight responsibility isoutsourced, gather and review acopy or summary of theresponsibilities to be carried

Yes, have the requiredpolicy, documentation,procedures and/or processes inplace.

Not in complianceNot applicable (if no field

operations)


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Organization: ___________________________________________



out by the contractor in thisarea.

Component II.D: AccountabilityThe resources generated are used and accounted for in a manner consistent with the programs and purposes described in appeals.



DOCUMENTATION

GATHERED

II.D.1The organization shallexercise management andfinancial controls to provideassurance that the donorcontributions are used aspromised or implied in thefundraising appeal or asrequested by the donor.(Source: 4.8)

Policies on accountingpractices and reporting on thegeneration and use of restrictedand unrestricted funds, anddocument all communicationsto the public and donors on theuse of restricted andunrestricted funds.


Not in compliance

Component II.E: Organizational Security Policy and PlansInterAction members shall have policies addressing the key security issues (Source: 7.6.1)



DOCUMENTATION

GATHERED

II.E.1OrganizationalSecurity Policies and Plans:

InterAction members shallhave policies addressing thekey security issues and formalplans at both the field level andheadquarters levels to addressthese issues.(Source: 7.6.1)

Materials recording theorganization's requirements for

preparing security plans at boththe field and headquarterslevels.

Yes, have the requiredpolicies, procedures and/or

processes in place.Not in compliance

II.E.2Resources to addresssecurity: InterAction membersshall make availableappropriate resources to meet

Materials recording theorganization's security-related resource allocationsand/or budget guidelines


Not in compliance


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Organization: ___________________________________________



these minimum operatingsecurity standards.(Source: 7.6.2)

regarding security relatedexpenditures.

II.E.3Human ResourceManagement: InterActionmembers shall implementhiring policies and personnelprocedures to prepare staff tocope with the security issues attheir posts of assignment,support them during theirservice, and address postassignment issues.(Source: 7.6.3)

Materials recording theorganization's procedures toprepare staff to cope with thesecurity issues at their posts ofassignment; preparation andsupport of staff prior to, duringand after assignments relatingto security risks.


Not in compliance

II.E.4Accountability:InterAction members shallincorporate accountability forsecurity into their managementsystems at both the field andheadquarters level.(Source: 7.6.4)

Materials recording theorganization's instructions forpersonnel evaluations related tosecurity.


Not in compliance

II.E.5Sense of Community:InterAction members shallwork in a collaborative mannerwith other members of the

humanitarian and developmentcommunity to advance theircommon security interests.(Source: 7.6.5)

Materials recording theorganization policy regardingsharing of security informationand other participation in

efforts to enhance mutualsecurity with other NGOs.

Yes, have the requiredpolicy, documentation,procedures and/or processes inplace.

Not in compliance

Component II.F: Fundraising and Commitment to Accurate Disclosure



DOCUMENTATION

GATHERED

II.F.1The organization shallbe truthful in marketing and

Summarize the methods usedto assure the accuracy of

Yes, have the requiredguidelines, methods, and/or


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Organization: ___________________________________________



advertising.

Note:The organizationscommunications must neitherminimize nor overstate thehuman and material needs ofthose whom it assists.(Source: 5.3)The organizationscommunications must notcontain any material omissionsor exaggerations of facts,misleading photographs, norany other communication thatwould create a false impressionor misunderstanding.(Source: 5.2)The materials mustgiveaccurate balance to the actualprograms for which solicitedfunds will be used.(Source: 5.2)

conditions portrayed in theorganization's communications.If no such guidelines exist,summarize the methods used toassure the accuracy ofconditions portrayed in theorganization's communications.Gather and review sample-marketing guidelines thataddress the organization'saccurate portrayal of conditionsin its communications. Surveydonors to verify that theorganizations intendedmessage is accurately gettingthrough.

processes in place.Not in compliance

SECTION III: ORGANIZATIONAL COMMITMENT STANDARDSSeveral PVO Standards do not easily lend themselves to clear and objective measurement. More important than defining an absolute measurement is a member's ability to

provide evidence that internal policies have been adopted/implemented, reflecting an organizational commitment to regular, deliberate progress toward meeting thesebroader institutional objectives.

Component III.A: Administrative and Management



DOCUMENTATION

GATHERED

III.A.1The organizationshall be willing to shareprogram knowledge and

Review and summarize theorganization's efforts to shareprogram knowledge and

Yes, have the requiredprocedures and/or processes inplace.


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Organization: ___________________________________________



experience with programparticipants, other agencies,donors and otherconstituencies.(Source: 7.1.10)

experience with programparticipants, other agencies,donors and other constituents.

Not in compliance

III.A.2The organizationshall have, or plan to adoptwithin its next strategic plan,written policies that affirm itscommitment to genderequality, racial and ethnicdiversity and inclusion ofpeople with disabilities in staffand board composition, in partby adopting policies andprocedures to increase:

a)The numbers of womenin senior decision-making positions, wherethere is under-representation, atheadquarters and in thefield;

b)Ethnic and racialdiversity, where there isunder-representation,and;

c)The inclusion of peoplewith disabilities, wherethere is under-representation.(Source: 6.4.1.2,6.4.2.2, 6.4.3.1)

(Source: 2.6.1, 2.6.2,2.6.3) [compare to text

All policies that affirm theorganization's commitment togender equity, racial andethnic diversity, and inclusionof people with disabilities inorganizational structures andin staff and board composition.If the organization has not yetadopted such policies, preparewritten plans to adopt policies,meeting minutes discussingthe development and adoptionof such policies, or otherrelevant documentation.Assemble copies of personnelpolicies that are designed toaddress any discrepancies in:

The female/male ratio ofthe senior staff at

headquarters and in thefield;

The female/male ratio ofthe remainingheadquarters staff;

The percentage ofemployees withdisabilities (known to theorganization by theemployee's voluntarydisclosure or some other

Yes, have the requiredpolicies or plans, proceduresand processes for developingthe policies.

Not in compliance



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Organization: ___________________________________________



about U.S. procedures inI.F.3 above]

legal means).

III.A.3The organizationshall institute family friendlypolicies and create anenvironment that enables bothwomen and men to balancework and family life.(Source 6.4.1.4)

The organizations personnelpolicies shall identify theinclusion of family friendlyelements, such as parentalleave, flexible work hours,telecommuting, etc. Examinepersonnel records (approvedleaves, individual workschedules, etc.) to examine theextent to which these policiesare being utilized and theutilization patterns of bothfemale and male staff.

Yes, have the requiredpolicies in place.

Not in compliance

III.A.4Theorganizationshall endeavor to recruit andretain staff that combinesprofessional competence witha commitment to service.

Note: To assist in therecruitment and retention ofstaff with the skills, experienceand attitudes that increase the

probability that servicedelivery will meet theindustry's standards forefficiency and effectiveness,the organization shouldregularly carry out thefollowing activities:

a) Define and updateobjective entryqualifications for each job

Samples of advertisementsof recent job openings fromnewspapers and other media

Compile job descriptions

Compile samples of recentinternal announcements of

job openings

Describe opportunitiesmade available to staff toupgrade skills

Compile a list of theorganizations recruitment

outreach (e.g., evidence ofspecific efforts being madeto reach and attract a morediverse pool of candidates)


Not in compliance

Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliancebox must be ticked and actionplan given in the Action Plan

column.


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Organization: ___________________________________________



demonstrated throughagreements between theorganization and contractors,including NGOs and otherorganizations.

III.A.7The organization'shuman resource developmentprogram for U.S. staff at alllevels shall promote non-discriminatory workingrelationships and respect fordiversity in work andmanagement styles byintegrating gender, diversityand disability sensitization intoits orientation and trainingprograms.(Source: 6.4.1.1, 6.4.2.1,6.4.3.2, 6.4.1.6)

Copies and review of thecurrent curricula used fororientation and/or trainingaddressing employment andservice-related diversity issuesincluding gender, racial, ethnicand physical disability.

Yes, have the requireddocumentation and/orprocesses in place.

Not in compliance

III.A.8The organizationshall make financialarrangements to protect itsability to honor its obligationsto employees.(Source: 6.3.2)

Review payroll and benefitplan records to determine thatthe organization:

Has accurate records

Pays salaries and benefits

when dueProperly funds employeeretirement plans

Pays payroll taxes on atimely basis

Has corrected anyshortcomings in theseareas, if any, and pointedout in an audit ormanagement letter.

Yes, have the requiredrecords, procedures and/orprocesses in place.

Not in complianceNot applicable (if no paid

employees)

III.A.9Staff who is engaged Copies of any policies that Yes, have the required


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Organization: ___________________________________________



in fundraising and publicrelations shall meet thestandards of the Association ofFundraising Professionals andPublic Relations Society ofAmerica, respectively.(Source: 5.7)

address the ethical practicesexpected of staff engaged infundraising and publicrelations.

policiesNot in compliance

III.A.10If the organizationengages in fundraising eventsor cause-related marketing, theamount of funds going to thecharity shall be clearlydescribed prior to, or inconjunction with the effort.(Source: 5.5)

Samples of advertisements,invitations, brochures, etc.,that announce upcomingfundraising events or providecause-related marketing.

Yes, have the requireddocumentation, proceduresand/or processes in place.

Not in complianceNot applicable (if not

engaged in fundraising orcause-related marketing)

III.A.11Organizations thatcontract for fundraisingactivities shall have writtencontracts or agreementsoutlining the terms and retaincontrol of all fund-raisingactivities conducted on theirbehalf. (Source: 5.6)

Current or anticipatedcontracts for fund-raisingactivities with the dates theyare in force.

Yes, have the requiredcontracts and agreements.

Not in complianceNot applicable (if no

contracted fundraisingactivities)

Component III.B: Advocacy and Public Policy



DOCUMENTATION

GATHERED

III.B.1If engaged inlobbying, the organization shallhave clear policies governingits decisions and activitiesconcerning its advocacy, publicpolicy and/or lobbyingactivities, which:

Policies that describe thecriteria or circumstances inwhich the organization willinvolve itself in advocacy orpublic policy activities andwhich define the process foradopting and implementingsuch positions.

Yes, have the requiredpolicies in place.


engaged in advocacy)


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Organization: ___________________________________________



Describe the criteria orcircumstances in which itwill involve itself; and

Define the process foradopting and implementingsuch positions.

(Source: 8.1, 8.2)

III.B.2If engaged inlobbying, the organization'sadvocacy, public policy andlobbying activities shallconform to applicable UnitedStates non-profit law.(Source 8.3)

The United States non-profitlaw provides strict guidelinesfor those engaging in activitiesaimed at influencing legislationor other public regulations. Theorganization is responsible fordetermining if any of itsadvocacy or "lobbying"activities may be prohibitedunder these laws and/or

regulations. (Source: 8.3)

Written procedures forassessing the compliance of itspublic policy and advocacyactivities with applicableUnited States non-profit law.Prepare a list of public policyand advocacy activities in

which the organization hasbeen engaged during the past24 months, arranged by thecountry that is the object ofthese activities.

Yes, have the requiredpolicies and procedures inplace.


engaged in lobbying)

III.B.3If the organizationundertakes activities intendedto influence public policy in theUnited States or othercountries, it shall do so inaccordance with its ownestablished policies.(Source: 8.4)

All of the organization's writtenprocedures for assessing thecompliance of its public policyand advocacy activities with itsown policies.



engaged in public policy andadvocacy activities)


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Organization: ___________________________________________



INTERACTION

PVO STANDARDS

COMPLIANCE CERTIFICATION FORM 2012SIGNATURE PAGE

Name of Organization

Name of CEO or Board Chairman (Please Print)

Signature of CEO or Board Chairman Date


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Organization: ___________________________________________



In order to help us improve and structure the SCP process to offer most benefit to the membership, please answer all of the followingquestions.

Did you find the Self-Certification-Plus process useful for you institutionally? If yes, please explain how.

Did the process strengthen your organizations processes, policies and/or systems? If so, please give examples.

Who lead the effort and who were the other individuals and divisions engaged in Self-Certification-Plus at your organization?


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Organization: ___________________________________________



Did you discover areas where your organization would benefit from technical assistance?

a. Was it easy and straightforward to select your compliance level in column three?

b. Do you have any recommendations on how the Self-Certification-Plus process might be improved for 2014?

Does your organization verify compliance with any other standards? If so, which ones?


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Organization: ___________________________________________



Other Comments


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Organization: ___________________________________________


P a g e | 28 Copyright 2012 InterAction Questions: Email [email protected]

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2012 self-certification-plus compliance form_0

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