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8/14/2019 2010 Self-Certification-Plus Compliance Form_0
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Organization: ___________________________________________
InterAction Office of Membership & Standards
1400 16thStreet, NW, Suite 210, Washington, DC 20036
202-667-8227 www.interaction.org
ACCOUNTABILTY - TRANSPARENCY - EFFECTIVENESS
InterAction Self-Certification-Plus
Member Compliance Reporting Form
SCP 2010
http://www.interaction.org/http://www.interaction.org/8/14/2019 2010 Self-Certification-Plus Compliance Form_0
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Organization: ___________________________________________
Component I.A: Board Responsibility .............................................................................................................................................................................................. 2
Component I.B: Board Policies ........................................................................................................................................................................................................ 4
Component I.C: Fiscal Management And Accountability ................................................................................................................................................................. 6
Component I.D: Equal Access Rights ............................................................................................................................................................................................... 7
Component I.E: Organizational Integrity .......................................................................................................................................................................................... 8
Component I.F: Management And Human Resources .................................................................................................................................................................... 10
Component II.A: Program Development ......................................................................................................................................................................................... 11
Component II.B: Fostering Human Rights ..................................................................................................................................................................................... 14
Component II.C: Program Quality Monitoring And Evaluation .................................................................................................................................................... 14
Component II.D: Accountability .................................................................................................................................................................................................... 15
Component II.E: Organizational Security Policy and Plans ........................................................................................................................................................... 16
Component II.F: Fundraising And Commitment To Accurate Disclosure ..................................................................................................................................... 17
Component III.A: Administrative And Management ..................................................................................................................................................................... 18
Component III.B: Advocacy And Public Policy .............................................................................................................................................................................. 23
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 ........................................................................................................................................................................................ 11
SECTION III: ORGANIZATIONAL COMMITMENT STANDARDS ........................................................................................................................................ 18
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Organization: ___________________________________________2010 SelfCertification-Plus Compliance Form
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INTRODUCTION AND DIRECTIONS
This 2010 Self Certification Plus Compliance Formmust be submitted to InterAction by each member organization no later thanDecember 31, 2010. 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.
As we begin 2010 and the third mandatory PVO Standards compliance exercise through Self-Certification-Plus we have made some improvements to thisyears document based on our members feedback from the previous year. We have modified the compliance tickbox Yes, have Policy to read Yes, havethe required policy, documentation, procedures and/or processes in place in order to create more clarity. Standards that are multifaceted we have added a noteto instruct you totick only one box and to indicate an action plan if not in compliance.
Before you begin completing your compliance document, please write your organizations name on the header section to help us easier identified who the formbelongs 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 standardand 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 notapplicable 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.1through III.Bmust be completed fully using the information in columns marked Component and Proposed Evidence. Check the appropriate box in columnmarked Compliance and then either indicate your action plan in column fourmarked Action Plan if not in Compliance to address noncompliance orindicate the documentation you used as evidence of compliance in column five Documentation Gathered. We do not want you to send us the documentationyou 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 InterActions policy that a member is given one year to either come intocompliance with non-conformance to a standard or to demonstrate concerted movement toward coming into compliance in order to avoid possible suspensionfrom membership.
The completed form, including the signature page provided at the end of this compliance document constitutes a completed certification document. We alsoask 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 andsuggestions for improving the process. If you have any questions or need additional clarification on how to complete the materials, please contact
[email protected] [email protected]
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Organization: ___________________________________________2010 SelfCertification-Plus Compliance Form
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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 STANDARDSA 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
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.A.1The Organizations boardshall act as the organizationsgoverning body, acceptingresponsibility for oversight of allaspects of the organization.
(Source: 2.1, 2.4)
Copies of pertinent sections ofdocuments such as bylaws, charter,
policies and procedures that vest theultimate authority in the board to act asthe organization's governing body with
responsibility for governing all aspectsof the organization.
Yes, have therequired policy,documentation,
procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
I.A.2The Organizations boardpolicies shall specify thefrequency of board meetings (atleast two meetings per year),adequate attendance by directors(at least a majority of directorson average), and voting
requirements. Records of themeetings shall be maintained...(Source: 2.2
Copies of pertinent sections of thepolicy or bylaws that specify thefrequency of board meetings, anddefine the required attendance. Alsogather and document evidence that the
board meetings were held as plannedand that formal records of such
meetings were permanently maintained.
Yes, have therequired policy,documentation,
procedures and/orprocesses in place.
Yes, but lack policyNot in compliance
Not applicable
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 to be usedto demonstrate compliance with allapplicable laws. If legal action has beeninitiated against the organization withinthe last three years, document internal
policies and procedures followed, and
Yes, have therequired policy,documentation,
procedures and/orprocesses in place.
Yes, but lack policyNot in compliance
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any actions taken, to respond to andresolve legal action.
Not applicable
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.A.4The Organizations boardshall exercise fiscal oversight ofthe organization by:
a) Approving the annualbudget;
b) Appointing an independentCertified Public Accountantas auditor;
c) Receiving and reviewing theannual, audited financialstatements, which complywith Generally AcceptedAccounting Standards andRequirements according tothe AICPA and the FASB;
d) Requesting and reviewing amanagement letter, ifapplicable; and
e) Reviewing the financialstatements and activities ofthe organization.
f) Appropriate records shall bemaintained. (Source: 2.5.4.2)
The names of the board members whoare currently serving on the board'sfinancial oversight committee,including the name of theorganizations treasurer, if applicable.
Gather additional evidence, asappropriate, to verify the elements ofthe component.
Yes, have therequired policy,documentation,
procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Note: Organizations
with less than $100,000annual incomes are notrequired to use anindependent auditor.(Source: 4.2) The
board can execute thesefunctions through theuse of variouscommittees, including afinancial oversightcommittee.
Note: Only tick onebox! If non compliantwith any of the sections,Not in compliance
box must be ticked andaction plan given in theAction Plan column.
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I.A.5The Organization shallannually report to the publicbymeans of an annual report, or inseparate report formats:
a)Audited financialstatements,
b)IRS form 990 if applicable,
c)List of current boardmembers,
d)Other information that maybe helpful to the public inunderstanding theorganizations purposes,goals, activities and results.
(Source: 4.5)
Copies of all required documents. Yes, have therequired policy,documentation,
procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Component I.B: Board Policies
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.B.1Documented boardpolicies shall:
a)Restrict the number of
employees who are votingmembers of the board,
b)Provide limits for directorsbeing related to one another,the founder, or the executivedirector or president/chiefexecutive officer,
c)Establish limited terms ofservice for directors and
Copies of the appropriate sections ofthe organization's policies and
procedures that address the terms ofservice, restrictions on board members
relationships and services byemployees, and board memberscompensation and/or reimbursementfor expenses.
Yes, have therequired policy,documentation,
procedures and/or
processes in place.Yes, but lack policy
Not in complianceNot applicable
Note: This restrictionapplies only to paymentfor services as a directorand does not apply tosalaried employees who
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officers,
d)Prohibit compensation toboard members forservice as directors.(Source: 2.2)
are also directors.Reimbursement for out-of-pocket expenses isnot consideredcompensation.
Note: Only tick onebox! If non compliantwith any of the sections,Not in compliance
box must be ticked andaction plan given in theAction Plan column.
I.B.2Organizations boardpolicy shallprohibit direct and
indirect conflicts of interest,requiring that members of theboard and employees:
a)Disclose any affiliation theyhave with an actual or
potential supplier of goodsand services, recipient ofgrant funds, or organizationwith competing or conflictingobjectives;
b)Absent themselves fromdiscussion and abstain fromvoting or otherwise
participating in a decision onany issue in which there is aconflict of interest; and
c)Refuse large or otherwiseinappropriate gifts for
personal use.
Those sections of the organization'spolicies and procedures that address
potential conflict of interest situationsaffecting board members or employees,and compile any additional evidencethat the organization is complying withthese policies and procedures.
Yes, have therequired policy,
documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Note: This standarddoes not require that theconflict of interest
policy provide an
exhaustive list ofconflict situations, butthat such a policy
provides a frameworkfor determining when asituation wouldconstitute a conflict.The management mustreport staff conflicts ofinterest to the board,report major credibility
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(Source: 2.3
Appropriate records shall bemaintained.
risks to the board, andtrain new boardmembers, employeesand volunteers onconflict of interest
requirements.
Note: Only tick onebox! If non compliantwith any of the sections,Not in compliance
box must be ticked andaction plan given in theAction Plan column.
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)
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.C.1The Organization shalloperate according to a budgetapproved by its board.
(Source: 4.7)
Copy of the organization's budget for thecurrent year.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in compliance
Not applicable
I.C.2The Organizationscombined fundraising andadministration costsshall bekept to the minimum necessaryto meet the organizationsneeds. (Source: 4.6)
Note: The organization should
The ratio or proportion of theorganization's total combined fund-raising and administrative costs to thetotal expenditures for each of the pastthree years.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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set an internal target forfundraising and administrativeexpense that is appropriate tothe nature of its structure and
programs. These expenses
should generally not exceed35% of expenditures. (Source:6)
I.C.3The Organization shallexercise adequate internalcontrols over disbursements toavoid unauthorized payments,
prohibiting any unauditabletransactions or loans to boardmembers and to staff. This mayinclude descriptions of
procurement policies andprocedures. (Source: 4.7)
Pertinent materials prepared by theorganization (including managementletters and conflicts of interest policiesin assessing compliance with I.A.4 andI.B.2)
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
I.C.4The Organizationshallfile Form 990 annually with theUnited States government.
Note: Religious organizationsshould seek legal counsel toconfirm that they are exempt bylaw from this component.(Source: 4.3)
Form 990 filed with the United Statesgovernment during the past three years.If no 990 is filed, annual auditedfinancial statements shall be madeavailable.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Component I.D: Equal Access Rights
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.D.1The Organization shallensure that the fundamentalconcern of the organization isthe well being of those affected,and that its programs assist those
Copies of the organization's instructions,directives, policies and/or procedureswhich direct personnel to adhere to non-discrimination practices in its eligibilitydecisions, and list the organization's
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policy
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who are at risk without political,religious, gender or otherdiscrimination.(Source: 7.1.6)
most recent personnel orientations,trainings and instructional materialaddressing non-discrimination.
Not in complianceNot applicable
I.D.2The agency shall have a
written policy that affirms itscommitment to gender equity, toethnic and racial diversity, to theinclusion of people withdisabilities in organizationalstructures and in staff and boardcomposition. The policy should
be fully integrated into anorganizations plans andoperations, with a mechanismmandated by the CEO for
overseeing implementation.(Source: 2.6.1/2/3 and 7.2.1,7.3.1, 7.4.1)
Copy of the written policy and relevant
sections of operational plans.
Yes, have the required
policy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Component I.E: Organizational IntegrityThe affairs of the Organization are conducted with integrity and truthfulness. (Source: 3.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.E.1Each director andemployee shall follow the
organizations written standardof conduct that provides that:
a) The organization opposesand does not act as awilling party towrongdoing, corruption,terrorism, bribery, otherfinancial impropriety, orillegal acts in any of its
A copy of the organization's writtenstandard of conduct
A copy of the pertinent section ofthe organization's policies and
procedures which address correctiveactions to be taken in response tofounded wrongdoing by Boardmembers, employees, contractorsand volunteers.
Yes, have the requiredpolicy, documentation,
procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Note: This standardrequires that theorganization hasdocumented policies or
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activities;
b) The organization takesprompt and firm correctiveaction whenever and
wherever wrongdoing ofany kind is found amongits board and employees;and
c) The standard of conduct ismaintained despite possible
prevailing contrary practiceselsewhere. (Source: 3.2,3.4)
procedures to guide itsinvestigation of, andcorrective action to,different types ofwrongdoing. These
documented policies orprocedures need not beexhaustive, but theyshould provide aframework forinvestigative andcorrective action.Records of theinvestigations andcorrective actions shall bemaintained.
Note: Only tick one box!If non compliant with anyof the sections, Not incompliance box must beticked and action plangiven in the Action Plancolumn.
I.E.2The organization willhave policies to address
complaints and prohibitretaliation againstwhistleblowers. (Source: 3.3)
Copy of the policy that protectsemployees who present evidence of
misconduct by individuals associatedwith the organization. Verify thatpolicies and procedures have beenfollowed.
Yes, have the requiredpolicy, documentation,
procedures and/orprocesses in place.Yes, but lack policy
Not in complianceNot applicable
I.E.3The organization willhave policies for documentretention and destruction thatensure protection of documentsduring an official investigation.
Gather and review a copy of policy. Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policy
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(Source 3.7) Not in complianceNot applicable
Component I.F: Management and Human ResourcesTheorganization shallfollow management practices that are appropriate to its mission, operations, and governance structure. (Source: 6.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.F.1The organization shallhave clear, well-defined,documented policies and
procedures relating to all UnitedStates employees, clearlyoutlining their rights and
benefits. (Source: 6.3, 6.3.1)
Personnel policies and procedures orother documents related toorganizational operations.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in compliance
Not applicable
I.F.2The Organizationspolicies shall prohibit excludingfrom participation, denying
benefits, or otherwise subjectingto discrimination any person onthe basis of race, color, nationalorigin, age, religion, disabilityor gender in any aspect ofservice delivery and human
resource practices. (Source:2.6)
Note: If an organization claimsexemption under section 702 ofthe Civil Rights Act of 1984, theorganization may considerreligion in its employment
practices.
Policy that affirms the organization'scommitment to equal access to theorganization's services and prohibitsdiscrimination by the organization on the
basis of race, color, national origin, age,religion, handicap or gender.
Track job applications to make sure allapplicants have been treated equally
according to policies and procedures.Interview HR staff, if necessary.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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I.F.3The Organization shallhave documented policies and
practices 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 affirm theorganizations commitment to equal payfor equal work.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
SECTION II: PROGRAM STANDARDS
Component II.A: Program DevelopmentOrganizations field programs should empower institutions and facilitate popular participation and sustainable development. (Source: 7.1.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLANIF NOT IN COMPLIANCE
DOCUMENTATIONGATHERED
II.A.1The Organizationsprograms shall facilitate self-reliance, self-help and popular
participation by empoweringindividuals and communitiesand strengthening capacities oflocal structures. (Source: 7.1.1, 7.1.8) To this end, theorganization considers such
things as appropriate includingthe programs potential forindividual and communityempowerment;
a)The potential of plannedactivities to strengthen thecapacity of localstructures;
b)The capacity of
Draft a concise but comprehensivedescription of the organizations trainingmanuals and services or gather andreview a copy of material containing thisinformation. The followingtopics/materials should be covered andverified that training was documentedand delivered. Applicable organizational
policies and standards include:
Training manuals or guidelines forprogram design, implementation,monitoring and evaluation
Gender analysis tools forprogramming
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Note: To achieve thisstandard, theorganizations program
planning andimplementation mustreflect efforts to fostermutually beneficialrelationships among
peoples from variedcultural and economic
backgrounds. Program and
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local/regional institutionsto absorb financial andother inputs constructively;
c)The potential to strengthen
the capacities of vulnerablegroups, typically women,children, minorities, thedisabled, and the very
poor;
d)The potential of localresources to sustain the
program;
e)Where resources exceed
capacity, the potential tocreate new structures suchas locally controlledfoundations or funds;
f) The potential effect uponlocal demand and marketsfor locally produced goodsand services;
g)The environment impact;
h)The involvement of
appropriate stakeholdersfrom affected groups; and
i) The programs potential toadvance the status of womenand their empowerment.
(Source: 6.4.1.6; 7.1.7/8)
senior staff should betrained in gender analysisfor program planning,implementation andevaluation.
Note: Only tick one box!If non compliant with anyof the sections, Not incompliance box must beticked and action plangiven in the Action Plancolumn.
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II.A.2 - Where appropriate,awareness of diversity issuesshall be incorporated into eachstage of the program process,from the review of project
proposals to implementation andevaluation, to ensure thatprojects foster participation andbenefits for all affected groups.The agency will collaborate with
partner NGO organizations inthe field to integrate diversityissues into their programs.(Source: 7.3.2)
Program planning, proposal andprogram evaluation guidelines forreview of diversity criteria.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
II.A.3 - Agency programs and
activities should be held inaccessible locations to the extentfeasible. Organizations will
provide training and conferencematerials in alternative formatsas applicable (Braille, sign-language interpreters, etc) andshould plan financially toreasonably accommodate peoplewith disabilities in their
programs and activities.
(Source: 7.4.3)
Review training site locations and
formatting of training materialsdeveloped over the past year to assessand verify that accessibilityconsiderations were followed.
Yes, have the required
policy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
II.A.4For those organizationsoperating in the field, theorganization shall give priorityto working with or through localand national institutions andgroups, encouraging theircreation where they do notalready exist, strengtheningthem where they do and
Develop a list of the entities withprimary responsibility in each countrywhere the organization operates. Gatherorganizational policy, guidelines and/ortraining material about working in
partnership with local communitygroups and/or instructors.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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developing clearly and publiclystated criteria for establishing
partnerships with such groupsand for fostering communityempowerment through
participation in the planning ofprograms and projects. (Source: 7.1.3)
Component II.B: Fostering Human Rights
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.B.1 - In its programactivities, the organizationrespects and fosters human
rights, both socio-economic andcivil-political. (Source: 7.1.4)
The organization's instructions,directives, policies and/or proceduresthat address the privacy and dignity of
program beneficiaries.
Yes, have the requiredpolicy,documentation,procedures and/or
processes in place.Yes, but lack policyNot in complianceNot applicable
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)
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLANIF NOT IN COMPLIANCE
DOCUMENTATIONGATHERED
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 for monitoringand evaluating the effective use ofinputs.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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II.C.2The organization shallincorporate relevant monitoringand evaluation (M&E) practicesin its policy, systems andculture;
Conduct regular and deliberateevaluative activities to examine
progress towards its goals andmission; and apply adequatefinancial and human resourcesfor monitoring and evaluation.
Evaluation of completed programs;meta-evaluation (or synthesis) ofevaluative activities.
Budget allocation or financial statements
showing allocation of resources forproject and program monitoring andevaluation activities; human resources(staff/consultant) with primaryresponsibility for M&E.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policy
Not in complianceNot applicable
II.C.3For those organizationswith field operations, theorganization shall have thecapacity to provide financial and
performance oversight at thelocal level, whether through afield office structure or through
partnerships with local entities.
Note: This component addressesinternal organizationalmechanisms that assureappropriate, ongoing oversightof local/regional program
performance. This component
does not address the externalaudits performed annually by anindependent certified auditor.(Source: 7.9.14)
Gather and review selections from thefollowing:Design monitoring and evaluationstandards and evaluation policy for
programs and projects; documents whichshow adherence to professionalprinciples and standards, includingencouraging the participation ofcommunities and partners; an agency-wide M&E system.
Material summarizing the organization'sprocedures for providing oversight ofprogram finances and performance at thelocal level. If any of this oversight
responsibility is outsourced, gather andreview a copy or summary of theresponsibilities to be carried out by thecontractor in this area.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Component II.D: AccountabilityThe 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
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
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II.D.1The organization shallexercise management andfinancial controls to provideassurance that the donorcontributions are used as
promised or implied in thefundraising appeal or asrequested by the donor.(Source: 4.8)
Policies on accounting practices andreporting on the generation and use ofrestricted and unrestricted funds, anddocument all communications to the
public and donors on the use of restricted
and unrestricted funds.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policy
Not in complianceNot applicable
Component II.E: Organizational Security Policy and PlansInterAction members shall have policies addressing the key security issues (Source: 7.6.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.E .1Organizational SecurityPolicies and Plans: InterActionmembers shall have policiesaddressing the key securityissues and formal plans at boththe field level and headquarterslevels to address these issues.(Source: 7.6.1)
Materials recording the organization'srequirements for preparing security
plans at both the field and headquarterslevels.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
II.E .2- Resources to addresssecurity: InterAction membersshall make available appropriate
resources to meet theseminimum operating securitystandards. (Source: 7.6.2)
Materials recording theorganization's security-related resourceallocations and/or budget guidelines
regarding security related expenditures.
Yes, have the requiredpolicy, documentation,procedures and/or
processes in place.Yes, but lack policy
Not in complianceNot applicable
II.E.3Human ResourceManagement: InterActionmembers shall implement hiring
policies and personnelprocedures to prepare staff to
Materials recording the organization'sprocedures for preparation and supportof staff prior to, during and after fieldassignments relating to security risks.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policy
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cope with the security issues attheir posts of assignment,support them during theirservice, and address postassignment issues. (Source:
7.6.3)
Not in complianceNot applicable
II.E.4- Accountability:InterAction members shallincorporate accountability forsecurity into their managementsystems at both the field andheadquarters level. (Source: 7.6.4)
Materials recording the organization'sinstructions for personnel evaluationsrelated to security.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
II.E.5 Sense of Community:InterAction members shall work
in a collaborative manner withother members of thehumanitarian and developmentcommunity to advance theircommon security interests.(Source: 7.6.5)
Materials recording the organizationpolicy regarding sharing of security
information and other participation inefforts to enhance mutual security withother NGOs.
Yes, have the requiredpolicy, documentation,
procedures and/orprocesses in place.Yes, but lack policy
Not in complianceNot applicable
Component II.F: Fundraising and Commitment to Accurate Disclosure
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.F.1The organization shallbe truthful in marketing andadvertising.
Note:The organizationscommunications must neitherminimize nor overstate thehuman and material needs ofthose whom it assists. (Source:
Summarize the methods used to assurethe accuracy of conditions portrayed inthe organization's communications. Ifno such guidelines exist, summarize themethods used to assure the accuracy ofconditions portrayed in theorganization's communications. Gatherand review sample-marketing guidelinesthat address the organization's accurate
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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next strategic plan, writtenpolicies that affirm itscommitment to gender equality,racial and ethnic diversity andinclusion of people with
disabilities in staff and boardcomposition, in part by adoptingpolicies and procedures toincrease:
a)The numbers of women insenior decision-making
positions, where there isunder-representation, atheadquarters and in thefield;
b)Ethnic and racial diversity,where there is under-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 about
U.S. procedures in I.F.3above]
ethnic diversity, and inclusion of peoplewith disabilities in organizationalstructures and in staff and boardcomposition. If the organization has notyet adopted such policies, prepare
written plans to adopt policies, meetingminutes discussing the development andadoption of such policies, or otherrelevant documentation. Assemblecopies of personnel policies that aredesigned to address any discrepancies in:
The female/male ratio of the seniorstaff at headquarters and in the field;
The female/male ratio of the
remaining headquarters staff;
The percentage of employees withdisabilities (known to theorganization by the employee'svoluntary disclosure or some otherlegal means).
procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
Note: Only tick one box!If non compliant with anyof the sections, Not incompliance box must beticked and action plangiven in the Action Plancolumn.
III.A.3The organization shallinstitute family friendly policiesand create an environment thatenables both women and men to
balance work and family life.(Source 6.4.1.4)
The organizations personnel policiesshall identify the inclusion of familyfriendly elements, such as parental leave,flexible work hours, telecommuting, etc.Examine personnel records (approvedleaves, individual work schedules, etc.)to examine the extent to which these
policies are being utilized and the
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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utilization patterns of both female andmale staff.
III.A.4Theorganization shallendeavor to recruit and retain
staff that combines professionalcompetence with a commitmentto service.
Note: To assist in therecruitment and retention ofstaff with the skills, experienceand attitudes that increase the
probability that service deliverywill meet the industry'sstandards for efficiency andeffectiveness, the organization
should regularly carry out thefollowing activities:
a) Define and update objectiveentry qualifications for each
job category,b)Devise and carry out
effective advertisingcampaigns for job openings,
c)Provide adequate andequitable staff orientation
and training,
d)Inform staff of currentopenings, and
e)Carry out equitableremuneration and
promotions
Samples of advertisements of recentjob openings from newspapers and
other mediaCompile job descriptions
Compile samples of recent internalannouncements of job openings
Describe opportunities made availableto staff to upgrade skills
Compile a list of the organizationsrecruitment outreach (e.g., evidenceof specific efforts being made to reach
and attract a more diverse pool ofcandidates)
Yes, have the requiredpolicy, documentation,
procedures and/orprocesses in place.Yes, but lack policy
Not in complianceNot applicable
Note: Only tick one box!If non compliant with anyof the sections, Not in
compliance box must be
ticked and action plangiven in the Action Plancolumn.
III.A.5The organizations Samples of job descriptions and Yes, have the required
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hiring and personnel evaluationpolicies and practices halldemonstrate commitment togender and diversity issues anda commitment to gender equity
and diversity. (Source 6.4.1.3, 6.4.2.3)
candidate interview questions forcriteria/questions that addresscommitment to and experience with
promoting gender equity, diversity, andinclusion of people with disabilities.
Review the organizations performanceassessment form for criteria/questions onelements related to advancing genderequity, diversity, and inclusion of peoplewith disabilities.
policy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in compliance
Not applicable
III.A.6Theorganizationsperformance expectations ofcontractors shall be clearlydefined and communicated.(Source 6.3.3)
NOTE: Compliance with thiscomponent can be demonstratedthrough agreements between theorganization and contractors,including NGOs and otherorganizations.
Standard contracts used between theorganization and its contractors. If thereare any concerns, survey contractors foropinions/experience.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policy
Not in complianceNot applicable
III.A.7The organization'shuman resource development
program for U.S. staff at all
levels shall promote non-discriminatory workingrelationships and respect fordiversity in work andmanagement styles byintegrating gender, diversity anddisability sensitization into itsorientation and training
programs. (Source: 6.4.1.1,6.4.2.1, 6.4.3.2, 6.4.1.6)
Copies and review of the currentcurricula used for orientation and/ortraining addressing employment and
service-related diversity issues includinggender, racial, ethnic and physicaldisability.
Yes, have the requiredpolicy, documentation,procedures and/or
processes in place.Yes, but lack policy
Not in complianceNot applicable
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outlining the terms and retaincontrol of all fund-raisingactivities conducted on their
behalf. (Source: 5.6)
Yes, but lack policyNot in complianceNot applicable
Component III.B: Advocacy and Public Policy
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
III.B.1If engaged inlobbying, the organization shallhave clear policies governing itsdecisions and activitiesconcerning its advocacy, public
policy and/or lobbying
activities, which:
Describe the criteria orcircumstances in which itwill involve itself; and
Define the process foradopting and implementingsuch positions.
(Source: 8.1, 8.2)
Policies that describe the criteria orcircumstances in which the organizationwill involve itself in advocacy or public
policy activities and which define theprocess for adopting and implementingsuch positions.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in compliance
Not applicable
III.B.2If engaged in
lobbying, 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 activities
Written procedures for assessing the
compliance of its public policy andadvocacy activities with applicableUnited States non-profit law.
Prepare a list of public policy andadvocacy activities in which theorganization has been engaged duringthe past 24 months, arranged by thecountry that is the object of theseactivities.
Yes, have the required
policy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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aimed at influencing legislationor other public regulations. Theorganization is responsible fordetermining if any of itsadvocacy or "lobbying"activities may be prohibitedunder these laws and/orregulations. (Source: 8.3)
III.B.3If the organizationundertakes activities intended toinfluence public policy in theUnited States or other countries,it shall do so in accordance withits own established policies.(Source: 8.4)
All of the organization's writtenprocedures for assessing the complianceof its public policy and advocacyactivities with its own policies.
Yes, have the requiredpolicy, documentation,procedures and/orprocesses in place.
Yes, but lack policyNot in complianceNot applicable
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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 answerall of the following questions.
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Organization: ___________________________________________2010 SelfCertification-Plus Compliance Form
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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 strengthenyour organizations 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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