Professional Documents
Culture Documents
SCP 2010
InterAction Self-Certification-Plus
Member Compliance Reporting Form
ACCOUNTABILTY - TRANSPARENCY - EFFECTIVENESS
2010
P a g SELF –CERTIFICATION-PLUS
e | 3Copyright 2010 InterAction COMPLIANCE FORM..................................................................................................................................................28
Questions: Email bwallace@interaction.org or talexander@interaction.org
SIGNATURE PAGE AND QUESTIONNAIR
Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
INTRODUCTION AND DIRECTIONS
This 2010 Self Certification Plus Compliance Form must be submitted to InterAction by each member organization no later than December 31, 2010. This
compliance 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 the
NGO sector with donors, the public, and beneficiaries and also serves as a track record of members’ internal efforts to improve organizational accountability.
As we begin 2010 and the third mandatory PVO Standards compliance exercise through Self-Certification-Plus we have made some improvements to this
year’s document based on our members’ feedback from the previous year. We have modified the compliance tick box “Yes, have Policy” to read “Yes,
have the required policy, documentation, procedures and/or processes in place” in order to create more clarity. Standards that are multifaceted we have
added a note to instruct you to tick only one box and to indicate an action plan if not in compliance.
Before you begin completing your compliance document, please write your organization’s name on the header section to help us easier identified who the form
belongs to. The actual form which follows is in Microsoft Word table format, with boxes designed in a “word-wrapping” format so that the boxes expand as
you fill them in. For each standard and its related components, the agency must indicate in the third column marked “Compliance” whether or not the standard
and each component of that standard have been met. To check the box, double click on it and a window will open to allow you to change it to a checked box.
Should the agency determine that a particular standard does not apply to their work, it must explain (briefly) its reasons for determining the standard is “not
applicable” in that section.
The document explains each standard component and proposes documentation to be gathered and reviewed for evidence of compliance. All the sections, I.A.1
through III.B must be completed fully using the information in columns marked “Component’ and “Proposed Evidence”. Check the appropriate box in column
marked “Compliance” and then either indicate your action plan in column four marked “Action Plan if not in Compliance” to address noncompliance or
indicate the documentation you used as evidence of compliance in column five “ Documentation Gathered”. We do not want you to send us the documentation
you used as evidence of compliance, but only to cite that document in the column “Documentation Gathered”. Each member is required to develop and
indicate an action plan to address areas of non-conformance. It has always been InterAction’s policy that a member is given one year to either come into
compliance with non-conformance to a standard or to demonstrate concerted movement toward coming into compliance in order to avoid possible suspension
from membership.
The completed form, including the signature page provided at the end of this compliance document constitutes a completed certification document. We also
ask you to complete the questionnaire to help us evaluate the process.
We will be using the results of the 2010 process to determine necessary revisions for 2012 and encourage you to give your feedback on the exercise and
suggestions for improving the process. If you have any questions or need additional clarification on how to complete the materials, please contact
bwallace@interaction.org or talexander@interaction.org
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
The parenthetical term “Source” in these guidelines refers to the current PVO Standard(s) being applied to each standard heading and component under review.
Due to the consolidation, the “Source” standards are not in numeric order.
I.A.2 – The Organization’s board Copies of pertinent sections of the Yes, have the
policies shall specify the policy or bylaws that specify the required policy,
frequency of board meetings (at frequency of board meetings, and documentation,
least two meetings per year), define the required attendance. Also procedures and/or
adequate attendance by directors gather and document evidence that the processes in place.
(at least a majority of directors board meetings were held as planned Yes, but lack policy
on average), and voting and that formal records of such Not in compliance
requirements. Records of the meetings were permanently maintained. Not applicable
meetings shall be maintained...
(Source: § 2.2
I.A.3 – Policies and procedures Document internal policies and Yes, have the
shall be in place to ensure that procedures that are in place to be used required policy,
the activities are conducted to demonstrate compliance with all documentation,
within applicable laws. (Source: applicable laws. If legal action has been procedures and/or
§ 2.7) initiated against the organization within processes in place.
the last three years, document internal Yes, but lack policy
I.B.2 – Organization’s board Those sections of the organization's Yes, have the
policy shall prohibit direct and policies and procedures that address required policy,
indirect conflicts of interest, potential conflict of interest situations documentation,
requiring that members of the affecting board members or employees, procedures and/or
board and employees: and compile any additional evidence processes in place.
that the organization is complying with Yes, but lack policy
a) Disclose any affiliation they these policies and procedures. Not in compliance
have with an actual or Not applicable
potential supplier of goods
and services, recipient of Note: This standard
grant funds, or organization does not require that the
with competing or conflicting conflict of interest
objectives; policy provide an
exhaustive list of
b) Absent themselves from
conflict situations, but
discussion and abstain from
that such a policy
voting or otherwise
provides a framework
participating in a decision on
for determining when a
any issue in which there is a
situation would
conflict of interest; and
constitute a conflict.
c) Refuse large or otherwise The management must
inappropriate gifts for report staff conflicts of
personal use. interest to the board,
report major credibility
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
(Source: § 2.3 risks to the board, and
train new board
Appropriate records shall be members, employees
maintained. and volunteers on
conflict of interest
requirements.
I.C.2 – The Organization’s The ratio or proportion of the Yes, have the required
combined fundraising and organization's total combined fund- policy, documentation,
administration costs shall be raising and administrative costs to the procedures and/or
kept to the minimum necessary total expenditures for each of the past processes in place.
to meet the organization’s three years. Yes, but lack policy
needs. (Source: § 4.6) Not in compliance
Not applicable
Note: The organization should
I.D.2 – The agency shall have a Copy of the written policy and relevant Yes, have the required
written policy that affirms its sections of operational plans. policy, documentation,
commitment to gender equity, to procedures and/or
ethnic and racial diversity, to the processes in place.
inclusion of people with Yes, but lack policy
disabilities in organizational Not in compliance
structures and in staff and board Not applicable
composition. The policy should
be fully integrated into an
organization’s plans and
operations, with a mechanism
mandated by the CEO for
overseeing implementation.
(Source: § 2.6.1/2/3 and 7.2.1,
7.3.1, 7.4.1)
I.E.2 – The organization will Copy of the policy that protects Yes, have the required
have policies to address employees who present evidence of policy, documentation,
complaints and prohibit misconduct by individuals associated procedures and/or
retaliation against with the organization. Verify that processes in place.
whistleblowers. (Source: § 3.3) policies and procedures have been Yes, but lack policy
followed. Not in compliance
Not applicable
I.E.3 – The organization will Gather and review a copy of policy. Yes, have the required
have policies for document policy, documentation,
retention and destruction that procedures and/or
ensure protection of documents processes in place.
during an official investigation. Yes, but lack policy
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
(Source §3.7) Not in compliance
Not applicable
I.F.2 – The Organization’s Policy that affirms the organization's Yes, have the required
policies shall prohibit excluding commitment to equal access to the policy, documentation,
from participation, denying organization's services and prohibits procedures and/or
benefits, or otherwise subjecting discrimination by the organization on the processes in place.
to discrimination any person on basis of race, color, national origin, age, Yes, but lack policy
the basis of race, color, national religion, handicap or gender. Not in compliance
origin, age, religion, disability Not applicable
or gender in any aspect of Track job applications to make sure all
service delivery and human applicants have been treated equally
resource practices. (Source: according to policies and procedures.
§2.6) Interview HR staff, if necessary.
II.A.3 - Agency programs and Review training site locations and Yes, have the required
activities should be held in formatting of training materials policy, documentation,
accessible locations to the extent developed over the past year to assess procedures and/or
feasible. Organizations will and verify that accessibility processes in place.
provide training and conference considerations were followed. Yes, but lack policy
materials in alternative formats Not in compliance
as applicable (Braille, sign- Not applicable
language interpreters, etc) and
should plan financially to
reasonably accommodate people
with disabilities in their
programs and activities.
(Source: § 7.4.3)
II.A.4 – For those organizations Develop a list of the entities with Yes, have the required
operating in the field, the primary responsibility in each country policy, documentation,
organization shall give priority where the organization operates. Gather procedures and/or
to working with or through local organizational policy, guidelines and/or processes in place.
and national institutions and training material about working in Yes, but lack policy
groups, encouraging their partnership with local community Not in compliance
creation where they do not groups and/or instructors. Not applicable
already exist, strengthening
them where they do and
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
developing clearly and publicly
stated criteria for establishing
partnerships with such groups
and for fostering community
empowerment through
participation in the planning of
programs and projects. (Source:
§ 7.1.3)
II.E.3– Human Resource Materials recording the organization's Yes, have the required
Management: InterAction procedures for preparation and support policy, documentation,
members shall implement hiring of staff prior to, during and after field procedures and/or
policies and personnel assignments relating to security risks. processes in place.
procedures to prepare staff to Yes, but lack policy
II.E.5 Sense of Community: Materials recording the organization Yes, have the required
InterAction members shall work policy regarding sharing of security policy, documentation,
in a collaborative manner with information and other participation in procedures and/or
other members of the efforts to enhance mutual security with processes in place.
humanitarian and development other NGO’s. Yes, but lack policy
community to advance their Not in compliance
common security interests. Not applicable
(Source: § 7.6.5)
III.A.2 – The organization shall All policies that affirm the organization's Yes, have the required
have, or plan to adopt within its commitment to gender equity, racial and policy, documentation,
III.A.4 – The organization shall • Samples of advertisements of recent Yes, have the required
endeavor to recruit and retain job openings from newspapers and policy, documentation,
staff that combines professional other media procedures and/or
competence with a commitment processes in place.
to service. • Compile job descriptions Yes, but lack policy
Note: To assist in the • Compile samples of recent internal Not in compliance
recruitment and retention of announcements of job openings Not applicable
staff with the skills, experience
and attitudes that increase the • Describe opportunities made available
probability that service delivery to staff to upgrade skills Note: Only tick one box!
will meet the industry's If non compliant with any
• Compile a list of the organization’s
standards for efficiency and of the sections, “Not in
recruitment outreach (e.g., evidence compliance” box must be
effectiveness, the organization
should regularly carry out the of specific efforts being made to reach ticked and action plan
and attract a more diverse pool of given in the Action Plan
following activities:
candidates) column.
a) Define and update objective
entry qualifications for each
job category,
b) Devise and carry out
effective advertising
campaigns for job openings,
c) Provide adequate and
equitable staff orientation
and training,
d) Inform staff of current
openings, and
e) Carry out equitable
remuneration and
promotions
III.A.5 – The organization’s Samples of job descriptions and Yes, have the required
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
hiring and personnel evaluation candidate interview questions for policy, documentation,
policies and practices hall criteria/questions that address procedures and/or
demonstrate commitment to commitment to and experience with processes in place.
gender and diversity issues and promoting gender equity, diversity, and Yes, but lack policy
a commitment to gender equity inclusion of people with disabilities. Not in compliance
and diversity. (Source §§ Review the organization’s performance Not applicable
6.4.1.3, 6.4.2.3) assessment form for criteria/questions on
elements related to advancing gender
equity, diversity, and inclusion of people
with disabilities.
III.A.6 – The organization’s Standard contracts used between the
performance expectations of organization and its contractors. If there Yes, have the required
contractors shall be clearly are any concerns, survey contractors for policy, documentation,
defined and communicated. opinions/experience. procedures and/or
(Source § 6.3.3) processes in place.
Yes, but lack policy
NOTE: Compliance with this Not in compliance
component can be demonstrated Not applicable
through agreements between the
organization and contractors,
including NGOs and other
organizations.
III.A.7 – The organization's Copies and review of the current Yes, have the required
human resource development curricula used for orientation and/or policy, documentation,
program for U.S. staff at all training addressing employment and procedures and/or
levels shall promote non- service-related diversity issues including processes in place.
discriminatory working gender, racial, ethnic and physical Yes, but lack policy
relationships and respect for disability. Not in compliance
diversity in work and Not applicable
management styles by
integrating gender, diversity and
disability sensitization into its
orientation and training
programs. (Source: §§ 6.4.1.1,
6.4.2.1, 6.4.3.2, 6.4.1.6)
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
III.A.8 – The organization shall Review payroll and benefit plan records Yes, have the required
make financial arrangements to to determine that the organization: policy, documentation,
protect its ability to honor its procedures and/or
obligations to employees. • Has accurate records processes in place.
(Source: § 6.3.2) • Pays salaries and benefits when due Yes, but lack policy
• Properly funds employee retirement Not in compliance
plans Not applicable
• Pays payroll taxes on a timely basis
• Has corrected any shortcomings in
these areas, if any, and pointed out
in an audit or management letter.
III.A.9 – Staff who is engaged Copies of any policies that address the Yes, have the required
in fundraising and public ethical practices expected of staff policy, documentation,
relations shall meet the engaged in fundraising and public procedures and/or
standards of the Association of relations. processes in place.
Fundraising Professionals and Yes, but lack policy
Public Relations Society of Not in compliance
America, respectively. (Source: Not applicable
§ 5.7)
III.A.11 – Organizations that Current or anticipated contracts for fund- Yes, have the required
contract for fundraising raising activities with the dates they are policy, documentation,
activities shall have written in force. procedures and/or
III.B.3 – If the organization All of the organization's written Yes, have the required
undertakes activities intended to procedures for assessing the compliance policy, documentation,
influence public policy in the of its public policy and advocacy procedures and/or
United States or other countries, activities with its own policies. processes in place.
it shall do so in accordance with Yes, but lack policy
its own established policies. Not in compliance
(Source: § 8.4) Not applicable
INTERACTION
PVO STANDARDS
COMPLIANCE CERTIFICATION FORM 2010
SIGNATURE PAGE
Name of Organization
In order to help us improve and structure the SCP process to offer most benefit to the membership,
please answer all of the following questions.
Did you find the Self-Certification-Plus process useful for you institutionally? If yes, please explain how.
Did the process lead to any recognition to strengthen your organization’s processes, policies and/or systems? If so, please
give examples.
Who lead the effort and who where the other individuals and divisions engaged in Self-Certification-Plus at your organization?
Did you discover areas where your organization would benefit from technical assistance?
Do you have any recommendations on how Self-Certification-Plus process might be improved for 2012?
Did you agree with the assumption that all Category I and Category II Standards are mandatory? If not, which Category I and
Category II Standards would you not consider to be mandatory?
Does your organization verify compliance with any other standards? If so, which one?
Other Comments