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8/3/2019 2012 Self-Certification-Plus Compliance Form
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Organization: ___________________________________________
InterActionSelf-Certification-Plus
Member Compliance Reporting F
ACCOUNTABILTY - TRANSPARENCY - EFFECTIVENESS
InterAction Office of Membership & Standards
1400 16th Street, NW, Suite 210, Washington, DC 20036
202-667-8227 www.interaction.org
SCP 2012
http://www.interaction.org/http://www.interaction.org/8/3/2019 2012 Self-Certification-Plus Compliance Form
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
INTRODUCTION AND DIRECTIONS
This 2012 Self Certification Plus Compliance Formmust be submitted to InterAction by each member organization no later thanDecember 31, 2012. Thiscompliance process is mandatory for all InterAction members every other year and noncompliance will result in suspension from InterAction membership.
Although compliance with PVO standards is a self-regulatory process, it is an important mechanism for demonstrating the integrity and accountability of theNGO sector with donors, the public, and beneficiaries and also serves as a track record of members internal efforts to improve organizational accountability.
We have made some improvements to this years Self-Certification-Plus document based on our members feedback. We have modified the compliancequestions and the tick boxes in the column Compliance to correspond more accurately with each individual standards component.
Before you start completing your compliance document, please fill in your organizations name in the header section of the cover page. The name will thenprint out on each page. The actual document is in Microsoft Word word-wrapping format with boxes designed to expand as you fill them in. To check acompliance box, double click on it and a window will open to allow you to change it to a checked box. The completed form, including the signature page
provided at the end of this compliance form constitutes a completed certification document. We also ask you to complete the questionnaire to help us evaluatethe process.
The document explains each standard (I.A. through III.B) in the first column, Component, and proposes documentation to be gathered and reviewed forevidence of compliance in column two, Proposed Evidence. For each standard section and its related components, you must indicate in the third columnmarked Compliance whether or not your organization is in compliance with the required standard. If not in compliance you must explain an action plan toaddress areas of non-conformance in column four marked Action Plan if not in compliance. According to InterActions policy a member is given two yearsto either come into compliance with non-conformance to a standard or to demonstrate concerted movement toward coming into compliance in order to avoidpossible suspension from membership.
You must also annotate the documentation you used as evidence of compliance in column five, Documentation Gathered. We cannot confirm yourcompliance complete unless you indicate what documents you reviewed. Please note that we do not want you to send us the documentation you used asevidence of your compliance, but only to cite the documents in that column.We encourage you to give your feedback on the exercise and suggestions for improving the process. If you have any questions or need additional clarificationon how to complete your report, please contact [email protected] [email protected] .
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Organization: ___________________________________________
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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 ExecutiveCommittee. (Source: 2.1, 2.2)
Component I.A: Board Responsibility
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.A.1 The Organizationsboard shall act as theorganizations governing body,accepting responsibility foroversight of all aspects of theorganization.(Source: 2.1, 2.4)
Copies of pertinent sections ofdocuments such as bylaws,charter, policies and proceduresthat vest the ultimate authorityin the board to act as theorganization's governing bodywith responsibility for
governing all aspects of theorganization.
Yes, have the required policyand procedures in place.Policy missing, compliant in
practiceNot in compliance
I.A.2 The Organizationsboard policies shall specify thefrequency of board meetings(at least two meetings peryear), adequate attendance bydirectors (at least a majority ofdirectors on average), andvoting requirements. Recordsof the meetings shall be
maintained. (Source: 2.2)
Copies of pertinent sections ofthe policy or bylaws thatspecify the frequency of boardmeetings, and define therequired attendance. Alsogather and document evidencethat the board meetings wereheld as planned and that formalrecords of such meetings were
permanently maintained.
Yes, have the requiredpolicies, procedures andprocesses in place.Not in compliance
I.A.3 Policies and proceduresshall be in place to ensure thatthe activities are conductedwithin applicable laws.(Source: 2.7)
Document internal policies andprocedures that are in place tobe used to demonstratecompliance with all applicablelaws. If legal action has beeninitiated against theorganization within the lastthree years, document internal
policies and proceduresfollowed, and any actionstaken, to respond to and resolve
Yes, have the required policyand procedures in place.Not in compliance
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legal action.I.A.4 The Organizations
board shall exercise fiscaloversight of the organization
by:
a) Approving theannual budget;
b) Appointing anindependentCertified PublicAccountant asauditor;
c) Receiving andreviewing the
annual, auditedfinancialstatements, whichcomply withGenerallyAcceptedAccountingStandards andRequirementsaccording to theAICPA and theFASB;
d) Requesting andreviewing amanagement letter,if applicable; and
e) Reviewing thefinancialstatements andactivities of theorganization.
f) Appropriaterecords shall be
The names of the boardmembers who are currentlyserving on the board's financial
oversight committee, includingthe name of the organizationstreasurer, if applicable.Gather additional evidence, asappropriate, to verify theelements of the component.
Yes, have the requireddocumentation, evidence and
procedures in place.
Not in compliance
Note: Organizations with lessthan $100,000 annual incomesare not required to use anindependent auditor. (Source: 4.2) The board can executethese functions through the useof various committees,including a financial oversightcommittee.
Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliance
box must be ticked and actionplan given in the Action Plancolumn.
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maintained.(Source: 2.5, 4.2)
I.A.5 The Organization shallannually report to the publicby
means of an annual report, or inseparate report formats:
a) Audited financialstatements,
b) IRS form 990 ifapplicable,
c) List of currentboard members,
d) Otherinformation that
may be helpful tothe public inunderstandingtheorganizations
purposes, goals,activities andresults.(Source: 4.5)
Copies of all requireddocuments.
Yes, have the requireddocumentation available to the
public.Not in compliance
Component I.B: Board Policies
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.B.1 Documented boardpolicies shall:
a) Restrict thenumber ofemployees whoare votingmembers of the
board,
Copies of the appropriatesections of the organization's
policies and procedures thataddress the terms of service,restrictions on board membersrelationships and services byemployees, and boardmembers compensation and/orreimbursement for expenses.
Yes, have the required
policies,documentation,procedures and/or processes inplace.Not in compliance
Note: This restriction appliesonly to payment for services as
a director and does not apply toP a g e | 4 Copyright 2012 InterAction Questions: [email protected]@interaction.org
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Organization: ___________________________________________
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b) Provide limitsfor directors
being related toone another, the
founder, or theexecutivedirector or
president/chiefexecutive officer,
c) Establish limitedterms of servicefor directors andofficers.(Source: 2.2)
salaried employees who arealso directors.Reimbursementfor out-of-pocket expenses isnot considered compensation.
Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliance
box must be ticked and actionplan given in the Action Plancolumn.
I.B.2 Organizations boardpolicy shall prohibit direct andindirect conflicts of interest,requiring that members of the
board and employees:
a) Disclose anyaffiliation theyhave with anactual or
potential supplierof goods andservices,recipient of grantfunds, ororganization withcompeting orconflictingobjectives;
b) Absentthemselves fromdiscussion and
Those sections of theorganization's policies and
procedures that addresspotential conflict of interestsituations affecting boardmembers or employees, andcompile any additionalevidence that the organizationis complying with these
policies and procedures.
Yes, have the required policiesand/or procedures in place.Not in compliance
Note: This standard does notrequire that the conflict ofinterest policy provides anexhaustive list of conflictsituations, but that such a
policy provides a framework
for determining when asituation would constitute aconflict. The managementmust report staff conflicts ofinterest to the board, reportmajor credibility risks to the
board, and train new boardmembers, employees andvolunteers on conflict ofinterest requirements.
Note: Only tick one box! If
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abstain fromvoting orotherwise
participating in a
decision on anyissue in whichthere is a conflictof interest; and
c) Refuse large orotherwiseinappropriategifts for personaluse.
(Source: 2.3)Appropriate records shall be
maintained.
non compliant with any of thesections, Not in compliance
box must be ticked and actionplan given in the Action Plan
column.
Component I.C: Fiscal Management and Accountability
The 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 COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.C.1 The Organization shalloperate according to a budgetapproved by its board.(Source: 4.7)
Copy of the organization'sbudget for the current year.Minutes of board approving the
budget.
Yes, have the requireddocumentation.Not in compliance
I.C.2 The Organizationscombined fundraising andadministration costs shall bekept to the minimum necessaryto meet the organizationsneeds. (Source: 4.6)
Note: The organization shouldset an internal target forfundraising and administrativeexpense that is appropriate tothe nature of its structure and
The ratio or proportion of theorganization's total combinedfund-raising and administrativecosts to the total expendituresfor each of the past three years.
Yes, meet the required ratioand have the expenditures forthe past three years.Not in compliance
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programs. These expensesshould generally not exceed35% of expenditures.(Source: 4.6)
I.C.3 The Organization shallexercise adequate internalcontrols over disbursements toavoid unauthorized payments,
prohibiting any unauditabletransactions or loans to boardmembers and to staff. Thismay include descriptions of
procurement policies andprocedures. (Source: 4.7)
Pertinent materials prepared bythe organization (includingmanagement letters andconflicts of interest policies inassessing compliance withI.A.4 and I.B.2)
Yes, have the requiredmaterials, policies and
processes in place.Not in compliance
I.C.4 The Organization shall
file Form 990 annually with theUnited States government.
Note: Religious organizationsshould seek legal counsel toconfirm that they are exempt
by law from this component.(Source: 4.3)
Form 990 filed with the United
States government during thepast three years. If no 990 isfiled, annual audited financialstatements shall be madeavailable.
Yes, have the required
documentation.Not in compliance
Component I.D: Equal Access Rights
COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLANIF NOT IN COMPLIANCE
DOCUMENTATIONGATHERED
I.D.1 The Organization shallensure that the fundamentalconcern of the organization isthe well being of thoseaffected, and that its programsassist those who are at riskwithout political, religious,gender or other discrimination.(Source: 7.1.6)
Copies of the organization'sinstructions, directives, policiesand/or procedures which direct
personnel to adhere to non-discrimination practices in itseligibility decisions, and list theorganization's most recent
personnel orientations,trainings and instructionalmaterial addressing non-
Yes, have the requiredpolicies, procedures andmaterial in place.Not in compliance
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discrimination.I.D.2 The agency shall have awritten policy that affirms itscommitment to gender equity,
to ethnic and racial diversity, tothe inclusion of people withdisabilities in organizationalstructures and in staff and
board composition. The policyshould be fully integrated intoan organizations plans andoperations, with a mechanismmandated by the CEO foroverseeing implementation.(Source: 2.6.1/2/3 and 7.2.1,
7.3.1, 7.4.1)
Copy of the written policy andrelevant sections of operational
plans.
Yes, have the required writtenpolicy and procedures anddocuments.
Not in compliance
Component I.E: Organizational Integrity
The affairs of the Organization are conducted with integrity and truthfulness. (Source: 3.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.E.1 Each director andemployee shall follow theorganizations written standardof conduct that provides that:
a) The organizationopposes and doesnot act as awilling party towrongdoing,corruption,terrorism,
bribery, otherfinancialimpropriety, orillegal acts in any
A copy of theorganization's writtenstandard of conduct
A copy of the pertinent
section of theorganization's policiesand procedures whichaddress correctiveactions to be taken inresponse to foundedwrongdoing by Boardmembers, employees,contractors andvolunteers.
Yes, have the requiredpolicies, documentation,procedures and/or processes inplace.
Not in compliance
Note: This standard requiresthat the organization hasdocumented policies or
procedures to guide itsinvestigation of, and correctiveaction to, different types ofwrongdoing. Thesedocumented policies or
procedures need not beexhaustive, but they should
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of its activities;b) The organization
takes prompt andfirm corrective
action wheneverand whereverwrongdoing ofany kind is foundamong its boardand employees;and
c) The standard ofconduct ismaintaineddespite possible
prevailingcontrary
practiceselsewhere.(Source: 3.2,3.4)
provide a framework forinvestigative and correctiveaction. Records of theinvestigations and corrective
actions shall be maintained.
Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliance
box must be ticked and actionplan given in the Action Plancolumn.
I.E.2 The organization willhave policies to addresscomplaints and prohibitretaliation againstwhistleblowers.(Source: 3.3)
Copy of the policy that protectsemployees who presentevidence of misconduct byindividuals associated with theorganization. Verify that
policies and procedures havebeen followed.
Yes, have the required policyand procedures in place.Not in compliance
I.E.3 The organization willhave policies for documentretention and destruction thatensure protection of documentsduring an official investigation.(Source: 3.7)
Gather and review a copy ofpolicy.
Yes, have the required policy.Not in compliance
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Component I.F: Management and Human Resources
Theorganization shallfollow management practices that are appropriate to its mission, operations, and governance structure. (Source: 6.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
I.F.1 The organization shallhave clear, well-defined,documented policies and
procedures relating to allUnited States employees,clearly outlining their rightsand benefits.(Source: 6.3, 6.3.1)
Personnel policies andprocedures or other documentsrelated to organizationaloperations.
Yes, have the requiredpolicies, documentation,procedures and/or processes inplace.Not in compliance
I.F.2 The Organizations
policies shall prohibitexcluding from participation,denying benefits, or otherwisesubjecting to discriminationany person on the basis of race,color, national origin, age,religion, disability or gender inany aspect of service deliveryand human resource practices.(Source: 2.6)
Note: If an organizationclaims exemption under section702 of the Civil Rights Act of1984, the organization mayconsider religion in itsemployment practices.
Policy that affirms the
organization's commitment toequal access to theorganization's services and
prohibits discrimination by theorganization on the basis ofrace, color, national origin,age, religion, handicap orgender.
Track job applications to makesure all applicants have been
treated equally according topolicies and procedures.Interview HR staff, ifnecessary.
Yes, have the required policy
and procedures in place.Not in compliance
I.F.3 The 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 affirmthe organizations commitmentto equal pay for equal work.
Yes, have the requiredpolicies.Not in compliance
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SECTION II: PROGRAM STANDARDS (Advocacy campaigns are considered as programs)
Component II.A: Program Development
Organizations field programs should empower institutions and facilitate popular participation and sustainable development. (Source: 7.1.1)
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.A.1 The 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 suchthings as appropriate includingthe programs potential forindividual and communityempowerment;
a) The potentialof plannedactivities tostrengthen the
capacity oflocalstructures;
b) The capacityoflocal/regionalinstitutions toabsorbfinancial andother inputsconstructively;
c) The potential
Draft a concise butcomprehensive description ofthe organizations trainingmanuals and services or gatherand review a copy of materialcontaining this information.The following topics/materials
should be covered andverified that training wasdocumented and delivered.Applicable organizational
policies and standards include:
Training manuals orguidelines for programdesign,implementation,monitoring and
evaluation Gender analysis tools
for programming
Yes, have the requiredpolicies, documentation,procedures and/or processes inplace.Not in compliance
Note: To achieve this
standard, the organizationsprogram planning andimplementation must reflectefforts to foster mutually
beneficial relationships amongpeoples from varied culturaland economic backgrounds.Program and senior staffshould be trained in genderanalysis for program planning,implementation and evaluation.
Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliance
box must be ticked and actionplan given in the Action Plancolumn. Includes advocacycampaigns/events/programsheld in the U.S.
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to strengthenthe capacitiesof vulnerablegroups,
typicallywomen,children,minorities, thedisabled, andthe very poor;
d) The potentialof localresources tosustain the
program;
e) Whereresourcesexceedcapacity, the
potential tocreate newstructures suchas locallycontrolledfoundations orfunds;
f) The potential effect uponlocal demand and marketsfor locally producedgoods and services;
g)The environment impact;h)The involvement ofappropriate stakeholdersfrom affected groups; andi) The programs potentialto advance the status ofwomen and theirempowerment.
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(Source: 6.4.1.6; .1.7&7/1/8)II.A.2 - Where appropriate,awareness of diversity issuesshall be incorporated into each
stage of the program process,from the review of project
proposals to implementationand evaluation, to ensure that
projects foster participation andbenefits for all affected groups.The agency will collaboratewith partner NGOorganizations in the field tointegrate diversity issues intotheir programs.
(Source: 7.3.2)
Program planning, proposaland program evaluationguidelines for review of
diversity criteria.
Yes, have the requireddocumentation, proceduresand/or processes in place.
Not in compliance
II.A.3 - Agency programs andactivities should be held inaccessible locations to theextent feasible. Organizationswill provide training andconference materials inalternative formats asapplicable (Braille, sign-language interpreters, etc) andshould plan financially toreasonably accommodate
people with disabilities in theirprograms and activities.(Source: 7.4.3)
Review training site locationsand formatting of trainingmaterials developed over the
past year to assess and verifythat accessibilityconsiderations were followed.
Yes, have the requiredmaterials, procedures and/or
processes in place.Not in compliance
II.A.4 For thoseorganizations operating in thefield, the organization shallgive priority to working with orthrough local and nationalinstitutions and groups,encouraging their creationwhere they do not already
Develop a list of the entitieswith primary responsibility ineach country where theorganization operates. Gatherorganizational policy,guidelines and/or trainingmaterial about working in
partnership with local
Yes, have the required policy,materials, procedures and/or
processes in place.Not in complianceNot applicable (if no fieldoperations)
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exist, strengthening themwhere they do and developingclearly and publicly statedcriteria for establishing
partnerships with such groupsand for fostering communityempowerment through
participation in the planning ofprograms and projects.(Source: 7.1.3)
community groups and/orinstructors.
Component II.B: Fostering Human Rights
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.B.1 - In its programactivities, the organizationrespects and fosters humanrights, both socio-economicand civil-political.(Source: 7.1.4)
The organization's instructions,directives, policies and/or
procedures that address theprivacy and dignity of programbeneficiaries.
Yes, have the requiredpolicies, procedures and/orprocesses in place.Not in compliance
Component II.C: Program Quality Monitoring and 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 PLANIF NOT IN COMPLIANCE
DOCUMENTATIONGATHERED
II.C.1 The organizationsprocedures for programmonitoring and evaluation shalladdress the effective use ofinputs, including human andfinancial resources.(Source: 7.1.9)
Materials summarizing theorganization's procedures formonitoring and evaluating theeffective use of inputs.
Yes, have the requiredprocedures and/or processes inplace.Not in compliance
II.C.2 The organization shallincorporate relevantmonitoring and evaluation
Evaluation of completedprograms; meta-evaluation (orsynthesis) of evaluative
Yes, have the requiredpractices, procedures and/orprocesses in place.
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(M&E) practices in its policy,systems and culture;
Conduct regular and deliberate
evaluative activities to examineprogress towards its goals andmission; and apply adequatefinancial and human resourcesfor monitoring and evaluation.
activities.
Budget allocation or financialstatements showing allocation
of resources for project andprogram monitoring andevaluation activities; humanresources (staff/consultant)with primary responsibility forM&E.
Not in compliance
II.C.3 For thoseorganizations with fieldoperations, the organizationshall have the capacity to
provide financial and
performance oversight at thelocal level, whether through afield office structure or through
partnerships with local entities.
Note: This componentaddresses internalorganizational mechanisms thatassure appropriate, ongoingoversight of local/regional
program performance. Thiscomponent does not addressthe external audits performedannually by an independentcertified auditor.(Source: 7.9.14)
Gather and review selectionsfrom the following:
Design monitoring andevaluation standards and
evaluation policy for programsand projects; documents whichshow adherence to professional
principles and standards,including encouraging the
participation of communitiesand partners; an agency-wideM&E system.Material summarizing theorganization's procedures for
providing oversight of programfinances and performance atthe local level. If any of thisoversight responsibility isoutsourced, gather and review acopy or summary of theresponsibilities to be carriedout by the contractor in thisarea.
Yes, have the required policy,documentation, proceduresand/or processes in place.Not in complianceNot applicable (if no field
operations)
Component II.D: Accountability
The resources generated are used and accounted for in a manner consistent with the programs and purposes described in appeals.
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COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.D.1 The organization shall
exercise 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 and reporting on thegeneration and use of restrictedand unrestricted funds, anddocument all communicationsto the public and donors on theuse of restricted andunrestricted funds.
Yes, have the required
policies, documentation,procedures and/or processes inplace.Not in compliance
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 COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.E.1OrganizationalSecurity Policies and Plans:
InterAction members shallhave policies addressing thekey security issues and formal
plans at both the field level andheadquarters levels to addressthese issues.(Source: 7.6.1)
Materials recording theorganization's requirements for
preparing security plans at boththe field and headquarterslevels.
Yes, have the requiredpolicies, procedures and/orprocesses in place.Not in compliance
II.E.2Resources to addresssecurity: InterAction membersshall make availableappropriate resources to meetthese minimum operatingsecurity standards.(Source: 7.6.2)
Materials recording theorganization's security-related resource allocationsand/or budget guidelinesregarding security relatedexpenditures.
Yes, have the requiredmaterials, procedures and/or
processes in place.Not in compliance
II.E.3Human ResourceManagement: InterActionmembers shall implementhiring policies and personnel
Materials recording theorganization's proceduresto
prepare staff to cope with thesecurity issues at their posts of
Yes, have the requiredpolicies, documentation,procedures and/or processes inplace.
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
procedures to prepare staff tocope with the security issues attheir posts of assignment,support them during their
service, and address postassignment issues.(Source: 7.6.3)
assignment; preparation andsupport of staff prior to, duringand after assignments relatingto security risks.
Not in compliance
II.E.4 Accountability:InterAction members shallincorporate accountability forsecurity into their managementsystems at both the field andheadquarters level.(Source: 7.6.4)
Materials recording theorganization's instructions for
personnel evaluations related tosecurity.
Yes, have the requiredmaterials, procedures and/or
processes in place.Not in compliance
II.E.5Sense of Community:
InterAction members shallwork in a collaborative mannerwith other members of thehumanitarian and developmentcommunity to advance theircommon security interests.(Source: 7.6.5)
Materials recording the
organization policy regardingsharing of security informationand other participation inefforts to enhance mutualsecurity with other NGOs.
Yes, have the required policy,
documentation, proceduresand/or processes in place.Not in compliance
Component II.F: Fundraising and Commitment to Accurate Disclosure
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
II.F.1 The organization shallbe truthful in marketing andadvertising.
Note:The organizationscommunications must neitherminimize nor overstate thehuman and material needs ofthose whom it assists.(Source: 5.3)The organizations
Summarize the methods usedto assure the accuracy ofconditions portrayed in theorganization's communications.If no such guidelines exist,summarize the methods used toassure the accuracy ofconditions portrayed in theorganization's communications.Gather and review sample-marketing guidelines that
Yes, have the requiredguidelines, methods, and/or
processes in place.Not in compliance
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
communications must notcontain any material omissionsor exaggerations of facts,misleading photographs, nor
any other communication thatwould create a false impressionor misunderstanding.(Source: 5.2)The materials mustgiveaccurate balance to the actual
programs for which solicitedfunds will be used.(Source: 5.2)
address the organization'saccurate portrayal of conditionsin its communications. Surveydonors to verify that the
organizations intendedmessage is accurately gettingthrough.
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 toprovide evidence that internal policies have been adopted/implemented, reflecting an organizational commitment to regular, deliberate progress toward meeting thesebroader institutional objectives.
Component III.A: Administrative and Management
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
III.A.1 The organizationshall be willing to share
program knowledge and
experience with programparticipants, other agencies,donors and otherconstituencies.(Source: 7.1.10)
Review and summarize theorganization's efforts to share
program knowledge and
experience with programparticipants, other agencies,donors and other constituents.
Yes, have the requiredprocedures and/or processes inplace.
Not in compliance
III.A.2 The organizationshall have, or plan to adoptwithin its next strategic plan,written policies that affirm itscommitment to genderequality, racial and ethnic
All policies that affirm theorganization's commitment togender equity, racial andethnic diversity, and inclusionof people with disabilities inorganizational structures and
Yes, have the requiredpolicies or plans, proceduresand processes for developingthe policies.Not in compliance
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
diversity and inclusion ofpeople with disabilities in staffand board composition, in part
by adopting policies and
procedures to increase:
a) The numbers ofwomen in seniordecision-making
positions, wherethere is under-representation,at headquartersand in the field;
b) Ethnic and racial
diversity, wherethere is under-representation,and;
c) The inclusion ofpeople withdisabilities,where there isunder-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 textabout U.S. procedures inI.F.3 above]
in staff and board composition.If the organization has not yetadopted such policies, preparewritten plans to adopt policies,
meeting minutes discussingthe development and adoptionof such policies, or otherrelevant documentation.Assemble copies of personnel
policies that are designed toaddress any discrepancies in:
The female/male ratioof the senior staff atheadquarters and in
the field; The female/male ratioof the remainingheadquarters staff;
The percentage ofemployees withdisabilities (known tothe organization by theemployee's voluntarydisclosure or someother legal means).
Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliance
box must be ticked and action
plan given in the Action Plancolumn.
III.A.3 The organizationshall institute family friendly
policies and create anenvironment that enables bothwomen and men to balancework and family life.
The organizations personnelpolicies shall identify theinclusion of family friendlyelements, such as parentalleave, flexible work hours,telecommuting, etc. Examine
Yes, have the requiredpolicies in place.Not in compliance
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
(Source 6.4.1.4) personnel records (approvedleaves, individual workschedules, etc.) to examine theextent to which these policies
are being utilized and theutilization patterns of bothfemale and male staff.
III.A.4 Theorganizationshall endeavor to recruit andretain staff that combines
professional competence with
Note: To assist in therecruitment and retention ofstaff with the skills, experience
and attitudes that increase theprobability that servicedelivery will meet theindustry's standards forefficiency and effectiveness,the organization shouldregularly carry out thefollowing activities:
a) Define andupdate objectiveentryqualificationsfor each jobcategory,
b) Devise and carryout effectiveadvertisingcampaigns for
job openings,c) Provide
adequate andequitable staff
Samples ofadvertisements ofrecent job openingsfrom newspapers andother media
Compile jobdescriptions
Compile samples of
recent internalannouncements of jobopenings
Describe opportunitiesmade available to staffto upgrade skills
Compile a list of theorganizationsrecruitment outreach(e.g., evidence ofspecific efforts beingmade to reach and
attract a more diversepool of candidates)
Yes, have the requiredmaterials, procedures and/or
processes in place.Not in compliance
Note: Only tick one box! Ifnon compliant with any of thesections, Not in compliance
box must be ticked and actionplan given in the Action Plancolumn.
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
orientation andtraining,
d) Inform staff ofcurrent
openings, ande) Carry out
equitableremunerationand promotions
III.A.5 The organizationshiring and personnelevaluation policies and
practices shall demonstratecommitment to gender anddiversity issues and a
commitment to gender equityand diversity.(Source 6.4.1.3, 6.4.2.3)
Samples of job descriptionsand candidate interviewquestions for criteria/questionsthat address commitment toand experience with
promoting gender equity,
diversity, and inclusion ofpeople with disabilities.Review the organizations
performance assessment formfor criteria/questions onelements related to advancinggender equity, diversity, andinclusion of people withdisabilities.
Yes, have the requiredpolicies and practices in place.Not in compliance
III.A.6 Theorganizationsperformance expectations ofcontractors shall be clearly
defined and communicated.(Source 6.3.3)
Note: Compliance with thiscomponent can bedemonstrated throughagreements between theorganization and contractors,including NGOs and otherorganizations.
Standard contracts usedbetween the organization andits contractors. If there are any
concerns, survey contractorsfor opinions/experience.
Yes, have the requireddocumentation in place.Not in compliance
Not applicable (if nocontractors)
III.A.7 The organization's Copies and review of the Yes, have the required
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
human resource developmentprogram for U.S. staff at alllevels shall promote non-discriminatory working
relationships and respect fordiversity in work andmanagement styles byintegrating gender, diversityand disability sensitization intoits orientation and training
programs.(Source: 6.4.1.1, 6.4.2.1,6.4.3.2, 6.4.1.6)
current curricula used fororientation and/or trainingaddressing employment andservice-related diversity issues
including gender, racial, ethnicand physical disability.
documentation and/orprocesses in place.Not in compliance
III.A.8 The organizationshall make financial
arrangements to protect itsability to honor its obligationsto employees.(Source: 6.3.2)
Review payroll and benefitplan records to determine that
the organization:
Has accurate records Pays salaries and
benefits when due Properly funds
employee retirementplans
Pays payroll taxes on atimely basis
Has corrected anyshortcomings in these
areas, if any, andpointed out in an auditor management letter.
Yes, have the requiredrecords, procedures and/or
processes in place.Not in complianceNot applicable (if no paidemployees)
III.A.9 Staff who is engagedin fundraising and publicrelations shall meet thestandards of the Association ofFundraising Professionals andPublic Relations Society ofAmerica, respectively.(Source: 5.7)
Copies of any policies thataddress the ethical practicesexpected of staff engaged infundraising and publicrelations.
Yes, have the requiredpoliciesNot in compliance
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
III.A.10 If the organizationengages in fundraising eventsor cause-related marketing, theamount of funds going to the
charity shall be clearlydescribed prior to, or inconjunction with the effort.(Source: 5.5)
Samples of advertisements,invitations, brochures, etc.,that announce upcomingfundraising events or provide
cause-related marketing.
Yes, have the requireddocumentation, proceduresand/or processes in place.Not in compliance
Not applicable (if not engagedin fundraising or cause-relatedmarketing)
III.A.11 Organizations thatcontract for fundraisingactivities shall have writtencontracts or agreementsoutlining the terms and retaincontrol of all fund-raisingactivities conducted on their
behalf. (Source: 5.6)
Current or anticipatedcontracts for fund-raisingactivities with the dates theyare in force.
Yes, have the requiredcontracts and agreements.Not in complianceNot applicable (if nocontracted fundraisingactivities)
Component III.B: Advocacy and Public Policy
COMPONENT PROPOSED EVIDENCE COMPLIANCEACTION PLAN
IF NOT IN COMPLIANCE
DOCUMENTATION
GATHERED
III.B.1 If engaged inlobbying, the organization shallhave clear policies governingits decisions and activitiesconcerning its advocacy, public
policy and/or lobbyingactivities, which:
Describe the criteria orcircumstances in whichit will involve itself;and
Define the process foradopting andimplementing such
positions.(Source: 8.1, 8.2)
Policies that describe thecriteria or circumstances inwhich the organization willinvolve itself in advocacy or
public policy activities andwhich define the process foradopting and implementingsuch positions.
Yes, have the required policiesin place.Not in complianceNot applicable (if not engagedin advocacy)
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
III.B.2 If engaged inlobbying, the organization'sadvocacy, public policy andlobbying activities shall
conform to applicable UnitedStates non-profit law.(Source 8.3)
The United States non-profitlaw provides strict guidelinesfor those engaging in activitiesaimed at influencing legislationor other public regulations. Theorganization is responsible fordetermining if any of its
advocacy or "lobbying"activities may be prohibitedunder these laws and/orregulations. (Source: 8.3)
Written procedures forassessing the compliance of its
public policy and advocacyactivities with applicable
United States non-profit law.Prepare a list of public policyand advocacy activities inwhich the organization has
been engaged during the past24 months, arranged by thecountry that is the object ofthese activities.
Yes, have the required policiesand procedures in place.Not in complianceNot applicable (if not engaged
in lobbying)
III.B.3 If the organizationundertakes activities intendedto influence public policy in theUnited States or othercountries, it shall do so inaccordance with its ownestablished policies.(Source: 8.4)
All of the organization's writtenprocedures for assessing thecompliance of its public policyand advocacy activities with itsown policies.
Yes, have the requiredpolicies, documentation,procedures and/or processes inplace.Not in complianceNot applicable (if not engagedin public policy and advocacyactivities)
INTERACTION
PVO STANDARDS
COMPLIANCE CERTIFICATION FORM 2012
SIGNATURE PAGE
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
In order to help us improve and structure the SCP process to offer most benefit to the membership, please answer all of
the following questions.
Did you find the Self-Certification-Plus process useful for you institutionally? If yes, please explain how.
Did the process strengthen your organizations processes, policies and/or systems? If so, please give examples.
Who lead the effort and who were the other individuals and divisions engaged in Self-Certification-Plus at your organization?
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
Did you discover areas where your organization would benefit from technical assistance?
a. Was it easy and straightforward to select your compliance level in column three?b. Do you have any recommendations on how the Self-Certification-Plus process might be improved for 2014?
Does your organization verify compliance with any other standards? If so, which ones?
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Organization: ___________________________________________
2012 Self Certification-Plus Compliance Form
Other Comments
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Organization: ___________________________________________
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