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Organization: ___________________________________________

SCP 2010
InterAction Self-Certification-Plus
Member Compliance Reporting Form
ACCOUNTABILTY - TRANSPARENCY - EFFECTIVENESS

InterAction Office of Membership & Standards


1400 16th Street, NW, Suite 210, Washington, DC 20036
202-667-8227 www.interaction.org
Organization: ___________________________________________

COMPLIANCE CERTIFICATION FORM


TABLE OF CONTENTS
Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
INTRODUCTION AND DIRECTIONS............................................................................................................................................................................................ 4
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. ................................................................................................................................................................. 4

2010 SELF –CERTIFICATION-PLUS COMPLIANCE FORM....................................................................................................................................................3

2010 SELF –CERTIFICATION-PLUS COMPLIANCE FORM....................................................................................................................................................5

SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDS....................................................................................................................................5


Component I.A: Board Responsibility........................................................................................................................................................................................... 5
Component I.B: Board Policies..................................................................................................................................................................................................... 7
Component I.C: Fiscal Management and Accountability................................................................................................................................................................ 9
Component I.D: Equal Access Rights........................................................................................................................................................................................... 10
Component I.E: Organizational Integrity...................................................................................................................................................................................... 11
Component I.F: Management and Human Resources................................................................................................................................................................... 13

SECTION II: PROGRAM STANDARDS...................................................................................................................................................................................... 14


Component II.A: Program Development....................................................................................................................................................................................... 14
Component II.B: Fostering Human Rights................................................................................................................................................................................... 17
Component II.C: Program Quality Monitoring and Evaluation....................................................................................................................................................17
Component II.D: Accountability.................................................................................................................................................................................................. 18
Component II.E: Organizational Security Policy and Plans.........................................................................................................................................................19
Component II.F: Fundraising and Commitment to Accurate Disclosure......................................................................................................................................20

SECTION III: ORGANIZATIONAL COMMITMENT STANDARDS.......................................................................................................................................21


Component III.A: Administrative and Management.................................................................................................................................................................... 21
Component III.B: Advocacy and Public Policy............................................................................................................................................................................. 26

2010
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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.

SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDS


A member Organization shall be governed responsibly by an independent, active and informed Board of Directors and, if applicable, its duly constituted Executive
Committee. (Source: §§ 2.1, 2.2)

Component I.A: Board Responsibility

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.A.1 – The Organization’s board Copies of pertinent sections of Yes, have the
shall act as the organization’s documents such as bylaws, charter, required policy,
governing body, accepting policies and procedures that vest the documentation,
responsibility for oversight of all ultimate authority in the board to act as procedures and/or
aspects of the organization. the organization's governing body with processes in place.
(Source: §§ 2.1, 2.4) responsibility for governing all aspects Yes, but lack policy
of the organization. Not in compliance
Not applicable

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

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
policies and procedures followed, and Not in compliance
any actions taken, to respond to and Not applicable
resolve legal action.

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.A.4 – The Organization’s board The names of the board members who Yes, have the
shall exercise fiscal oversight of are currently serving on the board's required policy,
the organization by: financial oversight committee, documentation,
including the name of the procedures and/or
a) Approving the annual organization’s treasurer, if applicable. processes in place.
budget; Yes, but lack policy
Gather additional evidence, as Not in compliance
b) Appointing an independent
appropriate, to verify the elements of Not applicable
Certified Public Accountant
the component.
as auditor;
Note: Organizations
c) Receiving and reviewing the with less than $100,000
annual, audited financial annual incomes are not
statements, which comply required to use an
with Generally Accepted independent auditor.
Accounting Standards and (Source: § 4.2) The
Requirements according to board can execute these
the AICPA and the FASB; functions through the
d) Requesting and reviewing a use of various
management letter, if committees, including a
applicable; and financial oversight
committee.
e) Reviewing the financial
statements and activities of Note: Only tick one
the organization. box! If non compliant
with any of the sections,
f) Appropriate records shall be
“Not in compliance”
maintained. (Source: §§ 2.5.
box must be ticked and
4.2)
action plan given in the
Action Plan column.

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
I.A.5 – The Organization shall Copies of all required documents. Yes, have the
annually report to the public by required policy,
means of an annual report, or in documentation,
separate report formats: procedures and/or
processes in place.
a) Audited financial Yes, but lack policy
statements, Not in compliance
b) IRS form 990 if applicable, Not applicable

c) List of current board


members,
d) Other information that may
be helpful to the public in
understanding the
organization’s purposes,
goals, activities and results.
(Source: § 4.5)

Component I.B: Board Policies

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.B.1 – Documented board Copies of the appropriate sections of Yes, have the
policies shall: the organization's policies and required policy,
procedures that address the terms of documentation,
a) Restrict the number of service, restrictions on board members’ procedures and/or
employees who are voting relationships and services by processes in place.
members of the board, employees, and board members’ Yes, but lack policy
b) Provide limits for directors compensation and/or reimbursement Not in compliance
being related to one another, for expenses. Not applicable
the founder, or the executive
Note: This restriction
director or president/chief
applies only to payment
executive officer,
for services as a director
c) Establish limited terms of and does not apply to
service for directors and salaried employees who

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
officers, are also directors.
Reimbursement for out-
d) Prohibit compensation to of-pocket expenses is
board members for not considered
service as directors. compensation.
(Source: § 2.2)
Note: Only tick one
box! If non compliant
with any of the sections,
“Not in compliance”
box must be ticked and
action plan given in the
Action Plan column.

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.

Note: Only tick one


box! If non compliant
with any of the sections,
“Not in compliance”
box must be ticked and
action plan given in the
Action Plan column.

Component I.C: Fiscal Management and Accountability


The Organization’s finances are conducted in such a way as to assure appropriate use of funds. Appropriate records shall be maintained. (Source: § 4.1)

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.C.1 – The Organization shall Copy of the organization's budget for the Yes, have the required
operate according to a budget current year. policy, documentation,
approved by its board. procedures and/or
processes in place.
(Source: § 4.7) Yes, but lack policy
Not in compliance
Not applicable

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

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
set an internal target for
fundraising and administrative
expense that is appropriate to
the nature of its structure and
programs. These expenses
should generally not exceed
35% of expenditures. (Source:
§6)
I.C.3 – The Organization shall Pertinent materials prepared by the Yes, have the required
exercise adequate internal organization (including management policy, documentation,
controls over disbursements to letters and conflicts of interest policies procedures and/or
avoid unauthorized payments, in assessing compliance with I.A.4 and processes in place.
prohibiting any unauditable I.B.2) Yes, but lack policy
transactions or loans to board Not in compliance
members and to staff. This may Not applicable
include descriptions of
procurement policies and
procedures. (Source: § 4.7)
I.C.4 – The Organization shall Form 990 filed with the United States Yes, have the required
file Form 990 annually with the government during the past three years. policy, documentation,
United States government. If no 990 is filed, annual audited procedures and/or
financial statements shall be made processes in place.
Note: Religious organizations available. Yes, but lack policy
should seek legal counsel to Not in compliance
confirm that they are exempt by Not applicable
law from this component.
(Source: § 4.3)

Component I.D: Equal Access Rights

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.D.1 – The Organization shall Copies of the organization's instructions, Yes, have the required
ensure that the fundamental directives, policies and/or procedures policy, documentation,
concern of the organization is which direct personnel to adhere to non- procedures and/or
the well being of those affected, discrimination practices in its eligibility processes in place.
and that its programs assist those decisions, and list the organization's Yes, but lack policy

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
who are at risk without political, most recent personnel orientations, Not in compliance
religious, gender or other trainings and instructional material Not applicable
discrimination. (Source: § 7.1.6) addressing non-discrimination.

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)

Component I.E: Organizational Integrity


The affairs of the Organization are conducted with integrity and truthfulness. (Source: § 3.1)

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.E.1 – Each director and • A copy of the organization's written Yes, have the required
employee shall follow the standard of conduct policy, documentation,
organization’s written standard procedures and/or
of conduct that provides that: • A copy of the pertinent section of processes in place.
the organization's policies and Yes, but lack policy
a) The organization opposes procedures which address corrective Not in compliance
and does not act as a actions to be taken in response to Not applicable
willing party to founded wrongdoing by Board
wrongdoing, corruption, members, employees, contractors Note: This standard
terrorism, bribery, other and volunteers. requires that the
financial impropriety, or organization has
illegal acts in any of its documented policies or

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
activities; procedures to guide its
investigation of, and
b) The organization takes corrective action to,
prompt and firm corrective different types of
action whenever and wrongdoing. These
wherever wrongdoing of documented policies or
any kind is found among procedures need not be
its board and employees; exhaustive, but they
and should provide a
framework for
c) The standard of conduct is investigative and
maintained despite possible corrective action.
prevailing contrary practices Records of the
elsewhere. (Source: §§ 3.2, investigations and
3.4) corrective actions shall be
maintained.

Note: Only tick one box!


If non compliant with any
of the sections, “Not in
compliance” box must be
ticked and action plan
given in the Action Plan
column.

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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2010 Self –Certification-Plus Compliance Form
(Source §3.7) Not in compliance
Not applicable

Component I.F: Management and Human Resources


The organization shall follow management practices that are appropriate to its mission, operations, and governance structure. (Source: § 6.1)

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
I.F.1 – The organization shall Personnel policies and procedures or Yes, have the required
have clear, well-defined, other documents related to policy, documentation,
documented policies and organizational operations. procedures and/or
procedures relating to all United processes in place.
States employees, clearly Yes, but lack policy
outlining their rights and Not in compliance
benefits. (Source: §§ 6.3, 6.3.1) 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.

Note: If an organization claims


exemption under section 702 of
the Civil Rights Act of 1984, the
organization may consider
religion in its employment
practices.

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
I.F.3 – The Organization shall Copy of the policies that affirm the
have documented policies and organization’s commitment to equal pay Yes, have the required
practices that support equal pay for equal work. policy, documentation,
for equal work for women and procedures and/or
men in the United States. processes in place.
(Source: §§ 6.4.1.5, 6.4.2.4) Yes, but lack policy
Not in compliance
Not applicable

SECTION II: PROGRAM STANDARDS

Component II.A: Program Development


Organization’s field programs should empower institutions and facilitate popular participation and sustainable development. (Source: § 7.1.1)

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
II.A.1 – The Organization’s Draft a concise but comprehensive
programs shall facilitate self- description of the organization’s training Yes, have the required
reliance, self-help and popular manuals and services or gather and policy, documentation,
participation by empowering review a copy of material containing this procedures and/or
individuals and communities information. The following processes in place.
and strengthening capacities of topics/materials should be covered and Yes, but lack policy
local structures. (Source: § verified that training was documented Not in compliance
7.1.1, 7.1.8) To this end, the and delivered. Applicable organizational Not applicable
organization considers such policies and standards include:
things as appropriate including Note: To achieve this
the program’s potential for • Training manuals or guidelines for standard, the
individual and community program design, implementation, organization’s program
empowerment; monitoring and evaluation planning and
implementation must
a) The potential of • Gender analysis tools for reflect efforts to foster
planned activities to programming mutually beneficial
strengthen the capacity of relationships among
local structures; peoples from varied
cultural and economic
b) The capacity of
backgrounds. Program and
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
local/regional institutions senior staff should be
to absorb financial and trained in gender analysis
other inputs constructively; for program planning,
implementation and
c) The potential to strengthen evaluation.
the capacities of vulnerable
groups, typically women, Note: Only tick one box!
children, minorities, the If non compliant with any
disabled, and the very of the sections, “Not in
poor; compliance” box must be
ticked and action plan
d) The potential of local given in the Action Plan
resources to sustain the column.
program;

e) Where resources exceed


capacity, the potential to
create new structures such
as locally controlled
foundations or funds;
f) The potential effect upon
local demand and markets
for locally produced goods
and services;
g)The environment impact;
h)The involvement of
appropriate stakeholders
from affected groups; and
i) The program’s potential to
advance the status of women
and their empowerment.
(Source: § 6.4.1.6; 7.1.7/8)

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2010 Self –Certification-Plus Compliance Form
II.A.2 - Where appropriate, Program planning, proposal and
awareness of diversity issues program evaluation guidelines for Yes, have the required
shall be incorporated into each review of diversity criteria. policy, documentation,
stage of the program process, procedures and/or
from the review of project processes in place.
proposals to implementation and Yes, but lack policy
evaluation, to ensure that Not in compliance
projects foster participation and Not applicable
benefits for all affected groups.
The agency will collaborate with
partner NGO organizations in
the field to integrate diversity
issues into their programs.
(Source: § 7.3.2)

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)

Component II.B: Fostering Human Rights

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
II.B.1 - In its program The organization's instructions, Yes, have the required
activities, the organization directives, policies and/or procedures policy, documentation,
respects and fosters human that address the privacy and dignity of procedures and/or
rights, both socio-economic and program beneficiaries. processes in place.
civil-political. (Source: § 7.1.4) Yes, but lack policy
Not in compliance
Not applicable

Component II.C: Program Quality Monitoring and Evaluation


The organization has established policies and procedures for ongoing monitoring and evaluation of its programs and projects, both qualitatively and quantitatively.
(Source: §§ 7.1.9)

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
II.C.1 – The organization’s Materials summarizing the Yes, have the required
procedures for program organization's procedures for monitoring policy, documentation,
monitoring and evaluation shall and evaluating the effective use of procedures and/or
address the effective use of inputs. processes in place.
inputs, including human and Yes, but lack policy
financial resources. Not in compliance
(Source: § 7.1.9) Not applicable

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
II.C.2 – The organization shall Evaluation of completed programs; Yes, have the required
incorporate relevant monitoring meta-evaluation (or synthesis) of policy, documentation,
and evaluation (M&E) practices evaluative activities. procedures and/or
in its policy, systems and processes in place.
culture; Budget allocation or financial statements Yes, but lack policy
showing allocation of resources for Not in compliance
Conduct regular and deliberate project and program monitoring and Not applicable
evaluative activities to examine evaluation activities; human resources
progress towards its goals and (staff/consultant) with primary
mission; and apply adequate responsibility for M&E.
financial and human resources
for monitoring and evaluation.
II.C.3 – For those organizations Gather and review selections from the Yes, have the required
with field operations, the following: policy, documentation,
organization shall have the Design monitoring and evaluation procedures and/or
capacity to provide financial and standards and evaluation policy for processes in place.
performance oversight at the programs and projects; documents which Yes, but lack policy
local level, whether through a show adherence to professional Not in compliance
field office structure or through principles and standards, including Not applicable
partnerships with local entities. encouraging the participation of
communities and partners; an agency-
Note: This component addresses wide M&E system.
internal organizational
mechanisms that assure Material summarizing the organization's
appropriate, ongoing oversight procedures for providing oversight of
of local/regional program program finances and performance at the
performance. This component local level. If any of this oversight
does not address the external responsibility is outsourced, gather and
audits performed annually by an review a copy or summary of the
independent certified auditor. responsibilities to be carried out by the
(Source: § 7.9.14) contractor in this area.

Component II.D: Accountability


The resources generated are used and accounted for in a manner consistent with the programs and purposes described in appeals.

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
II.D.1 – The organization shall Policies on accounting practices and Yes, have the required
exercise management and reporting on the generation and use of policy, documentation,
financial controls to provide restricted and unrestricted funds, and procedures and/or
assurance that the donor document all communications to the processes in place.
contributions are used as public and donors on the use of restricted Yes, but lack policy
promised or implied in the and unrestricted funds. Not in compliance
fundraising appeal or as Not applicable
requested by the donor.
(Source: § 4.8)

Component II.E: Organizational Security Policy and Plans


InterAction members shall have policies addressing the key security issues (Source: §7.6.1)

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
II.E .1 Organizational Security Materials recording the organization's Yes, have the required
Policies and Plans: InterAction requirements for preparing security policy, documentation,
members shall have policies plans at both the field and headquarters procedures and/or
addressing the key security levels. processes in place.
issues and formal plans at both Yes, but lack policy
the field level and headquarters Not in compliance
levels to address these issues. Not applicable
(Source: § 7.6.1)
II.E .2- Resources to address Materials recording the Yes, have the required
security: InterAction members organization's security-related resource policy, documentation,
shall make available appropriate allocations and/or budget guidelines procedures and/or
resources to meet these regarding security related expenditures. processes in place.
minimum operating security Yes, but lack policy
standards. (Source: § 7.6.2) Not in compliance
Not applicable

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

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
cope with the security issues at Not in compliance
their posts of assignment, Not applicable
support them during their
service, and address post
assignment issues. (Source: §
7.6.3)
II.E.4- Accountability: Materials recording the organization's Yes, have the required
InterAction members shall instructions for personnel evaluations policy, documentation,
incorporate accountability for related to security. procedures and/or
security into their management processes in place.
systems at both the field and Yes, but lack policy
headquarters level. (Source: § Not in compliance
7.6.4) Not applicable

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)

Component II.F: Fundraising and Commitment to Accurate Disclosure

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
II.F.1 – The organization shall Summarize the methods used to assure Yes, have the required
be truthful in marketing and the accuracy of conditions portrayed in policy, documentation,
advertising. the organization's communications. If procedures and/or
no such guidelines exist, summarize the processes in place.
Note: The organization’s methods used to assure the accuracy of Yes, but lack policy
communications must neither conditions portrayed in the Not in compliance
minimize nor overstate the organization's communications. Gather Not applicable
human and material needs of and review sample-marketing guidelines
those whom it assists. (Source: § that address the organization's accurate
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
5.3) portrayal of conditions in its
The organization’s communications. Survey donors to
communications must not verify that the organization’s intended
contain any material omissions message is accurately getting through.
or exaggerations of facts,
misleading photographs, nor any
other communication that would
create a false impression or
misunderstanding. (Source: §
5.2)
The materials must give accurate
balance to the actual programs
for which solicited funds will be
used. (Source: § 5.2)

SECTION III: ORGANIZATIONAL COMMITMENT STANDARDS


Several 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 these
broader institutional objectives.

Component III.A: Administrative and Management

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
III.A.1 – The organization shall Review and summarize the Yes, have the required
be willing to share program organization's efforts to share program policy, documentation,
knowledge and experience with knowledge and experience with program procedures and/or
program participants, other participants, other agencies, donors and processes in place.
agencies, donors and other other constituents. Yes, but lack policy
constituencies. (Source: § Not in compliance
7.1.10) Not applicable

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,

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
next strategic plan, written ethnic diversity, and inclusion of people procedures and/or
policies that affirm its with disabilities in organizational processes in place.
commitment to gender equality, structures and in staff and board Yes, but lack policy
racial and ethnic diversity and composition. If the organization has not Not in compliance
inclusion of people with yet adopted such policies, prepare Not applicable
disabilities in staff and board written plans to adopt policies, meeting
composition, in part by adopting minutes discussing the development and
policies and procedures to adoption of such policies, or other
increase: relevant documentation. Assemble Note: Only tick one box!
copies of personnel policies that are If non compliant with any
a) The numbers of women in designed to address any discrepancies in: of the sections, “Not in
senior decision-making compliance” box must be
positions, where there is • The female/male ratio of the senior ticked and action plan
under-representation, at staff at headquarters and in the field; given in the Action Plan
headquarters and in the column.
field; • The female/male ratio of the
b) Ethnic and racial diversity, remaining headquarters staff;
where there is under-
representation, and; • The percentage of employees with
disabilities (known to the
c) The inclusion of people organization by the employee's
with disabilities, where voluntary disclosure or some other
there is under- legal means).
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 about
U.S. procedures in I.F.3
above]
III.A.3 – The organization shall The organization’s personnel policies Yes, have the required
institute family friendly policies
shall identify the inclusion of family policy, documentation,
and create an environment that friendly elements, such as parental leave, procedures and/or
enables both women and men to flexible work hours, telecommuting, etc. processes in place.
balance work and family life. Examine personnel records (approved Yes, but lack policy
(Source § 6.4.1.4) leaves, individual work schedules, etc.) Not in compliance
to examine the extent to which these Not applicable
policies are being utilized and the
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
utilization patterns of both female and
male staff.

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.10 – If the organization Samples of advertisements, invitations,


engages in fundraising events or brochures, etc., that announce upcoming Yes, have the required
cause-related marketing, the fundraising events or provide cause- policy, documentation,
amount of funds going to the related marketing. procedures and/or
charity shall be clearly processes in place.
described prior to, or in Yes, but lack policy
conjunction with the effort.. Not in compliance
(Source: § 5.5) Not applicable

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

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
contracts or agreements processes in place.
outlining the terms and retain Yes, but lack policy
control of all fund-raising Not in compliance
activities conducted on their Not applicable
behalf. (Source: § 5.6)

Component III.B: Advocacy and Public Policy

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION


IF NOT IN COMPLIANCE GATHERED
III.B.1 – If engaged in Policies that describe the criteria or Yes, have the required
lobbying, the organization shall circumstances in which the organization policy, documentation,
have clear policies governing its will involve itself in advocacy or public procedures and/or
decisions and activities policy activities and which define the processes in place.
concerning its advocacy, public process for adopting and implementing Yes, but lack policy
policy and/or lobbying such positions. Not in compliance
activities, which: Not applicable

• Describe the criteria or


circumstances in which it
will involve itself; and
• Define the process for
adopting and implementing
such positions.
(Source: §§ 8.1, 8.2)
III.B.2 – If engaged in Written procedures for assessing the Yes, have the required
lobbying, the organization's compliance of its public policy and policy, documentation,
advocacy, public policy and advocacy activities with applicable procedures and/or
lobbying activities shall United States non-profit law. processes in place.
conform to applicable United Yes, but lack policy
States non-profit law. (Source § Prepare a list of public policy and Not in compliance
8.3) advocacy activities in which the Not applicable
organization has been engaged during
The United States non-profit the past 24 months, arranged by the
law provides strict guidelines country that is the object of these
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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form
for those engaging in activities activities.
aimed at influencing legislation
or other public regulations. The
organization is responsible for
determining if any of its
advocacy or "lobbying"
activities may be prohibited
under these laws and/or
regulations. (Source: § 8.3)

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

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form

INTERACTION
PVO STANDARDS
COMPLIANCE CERTIFICATION FORM 2010
SIGNATURE PAGE

Name of Organization

Name of CEO or Board Chairman (Please Print)

Signature of CEO or Board Chairman Date

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.

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talexander@interaction.org
Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form

Name of the organization: _______________________________________________

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?

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Organization: ___________________________________________
2010 Self –Certification-Plus Compliance Form

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

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talexander@interaction.org

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