2010 self-certification-plus compliance form

8/14/2019 2010 Self-Certification-Plus Compliance Form

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Organization: ___________________________________________

InterAction Office of Membership & Standards

1400 16 th Street, NW, Suite 210, Washington, DC 20036

202-667-8227 www.interaction.org

ACCOUNTABILTY - TRANSPARENCY - EFFECTIVENESS

InterAction Self-Certification-PlusMember Compliance Reporting Form

SCP 2010
http://www.interaction.org/http://www.interaction.org/


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Organization: ___________________________________________

COMPLIANCE CERTIFICATION FORMTABLE OF CONTENTS


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Organization: ___________________________________________ 2010 Self Certification-Plus Compliance Form

P a g e | 3Copyright 2010 InterAction Questions: Email [email protected] or [email protected]

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 years 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 SELF CERTIFICATION-PLUS COMPLIANCE FORM....................................................................... ......................................... .... ..............................28SIGNATURE PAGE AND QUESTIONNAIR
mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]


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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 . 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 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 thisyears 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 haveadded 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 organizations 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 asyou 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.1 through III.B must 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 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 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 [email protected] or [email protected]

mailto:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]:[email protected]


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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 PLANIF NOT IN COMPLIANCE

DOCUMENTATIONGATHERED

I.A.1 The Organizations boardshall act as the organizationsgoverning body, acceptingresponsibility for oversight of allaspects of the organization.

(Source: 2.1, 2.4)

Copies of pertinent sections of documents 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/or processes in place.

Yes, but lack policyNot in complianceNot applicable

I.A.2 The Organizations board policies shall specify thefrequency of board meetings (atleast two meetings per year),adequate attendance by directors(at least a majority of directors on average), and voting

requirements. Records of themeetings shall be maintained ... (Source: 2.2

Copies of pertinent sections of the policy 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, but lack policyNot in compliance

Not applicable

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

Document internal policies and procedures 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



Yes, but lack policy

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policies and procedures followed, andany actions taken, to respond to andresolve legal action.

Not in complianceNot applicable



I.A.4 The Organizations boardshall exercise fiscal oversight of the organization by:

a) Approving the annual budget;

b) Appointing an independentCertified Public Accountant

as auditor;c) Receiving and reviewing the

annual, audited financialstatements, which complywith Generally AcceptedAccounting Standards andRequirements according tothe AICPA and the FASB;

d) Requesting and reviewing amanagement letter, if applicable; and

e) Reviewing the financialstatements and activities of the 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 of the component.




Note: Organizationswith 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 one box! 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.5 The Organization shallannually report to the public bymeans 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 may be helpful to the public inunderstanding theorganizations purposes,goals, activities and results.(Source: 4.5)

Copies of all required documents. Yes, have therequired policy, documentation,



Component I.B: Board Policies



I.B.1 Documented board policies shall:

a) Restrict the number of

employees who are votingmembers of the board,

b) Provide limits for directors being related to one another,the founder, or the executivedirector or president/chief executive officer,

c) Establish limited terms of service for directors and

Copies of the appropriate sections of the organization's policies and

procedures that address the terms of service, restrictions on board members

relationships and services byemployees, and board memberscompensation and/or reimbursementfor expenses.


procedures and/or

processes in place.Yes, but lack policyNot in complianceNot applicable

Note: This restrictionapplies only to paymentfor services as a director and does not apply tosalaried employees who



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officers,

d) Prohibit compensation to board members for service as directors.(Source: 2.2)

are also directors.Reimbursement for out-of-pocket expenses isnot consideredcompensation.



I.B.2 Organizations board policy shall prohibit direct and

indirect conflicts of interest,requiring that members of the board and employees:

a) Disclose any affiliation theyhave with an actual or

potential supplier of goodsand services, recipient of grant 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's policies 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/or processes in place.


Note: This standarddoes not require that theconflict of interest

policy provide an

exhaustive list of conflict situations, butthat such a policy

provides a framework for determining when asituation wouldconstitute a conflict.The management mustreport staff conflicts of interest 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.



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)



I.C.1 The Organization shall operate according to a budgetapproved by its board.

(Source: 4.7)

Copy of the organization's budget for thecurrent year.

Yes, have the required policy, documentation, procedures and/or processes in place.


Not applicable

I.C.2 The Organizationscombined fundraising andadministration costs shall be kept 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.





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set an internal target for fundraising and administrativeexpense that is appropriate tothe nature of its structure and

programs. These expenses

should generally not exceed35% of expenditures . (Source:6)I.C.3 The Organization shall exercise adequate internalcontrols over disbursements toavoid unauthorized payments,

prohibiting any unauditabletransactions or loans to boardmembers and to staff. This mayinclude descriptions of

procurement policies and procedures. (Source: 4.7)

Pertinent materials prepared by theorganization (including managementletters and conflicts of interest policiesin assessing compliance with I.A.4 andI.B.2)



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 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.



Component I.D: Equal Access Rights



I.D.1 The 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





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who are at risk without political,religious, gender or other discrimination. (Source: 7.1.6)

most recent personnel orientations,trainings and instructional materialaddressing non-discrimination.


I.D.2 The 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/or processes in place.


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



I.E.1 Each 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, other financial impropriety, or illegal acts in any of its

A copy of the organization's writtenstandard of conduct

A copy of the pertinent section of the organization's policies and

procedures which address correctiveactions to be taken in response tofounded wrongdoing by Boardmembers, employees, contractorsand volunteers.

Yes, have the required policy, documentation,



Note: This standardrequires that theorganization hasdocumented policies or



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activities;

b) The organization takes prompt and firm correctiveaction whenever and

wherever wrongdoing of any 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 of wrongdoing. These

documented policies or procedures need not beexhaustive, but theyshould provide aframework for investigative 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.2 The 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 that policies and procedures have beenfollowed.


procedures and/or processes in place.Yes, but lack policyNot in complianceNot applicable

I.E.3 The organization willhave policies for documentretention and destruction thatensure protection of documentsduring an official investigation.

Gather and review a copy of policy. Yes, have the required policy, documentation, procedures and/or processes in place.




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(Source 3.7) Not in complianceNot applicable

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



I.F.1 The 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 or other documents related toorganizational operations.



Not applicable

I.F.2 The Organizations policies 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 of service delivery and human

resource practices. (Source:2.6)

Note: If an organization claimsexemption under section 702 of the Civil Rights Act of 1984, theorganization may consider religion 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.





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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 affirm theorganizations commitment to equal payfor equal work.



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)



II.A.1 The Organizations programs shall facilitate self-reliance, self-help and popular

participation by empoweringindividuals and communitiesand strengthening capacities of local structures. (Source: 7.1.1, 7.1.8) To this end, theorganization considers such

things as appropriate includingthe programs potential for individual and communityempowerment;

a) The potential of planned activities tostrengthen the capacity of local structures;

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 for program design, implementation,monitoring and evaluation

Gender analysis tools for programming



Note: To achieve thisstandard, theorganizations program

planning andimplementation mustreflect efforts to foster mutually 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 exceedcapacity, 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.




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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 that projects foster participation and benefits 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 and program evaluation guidelines for review of diversity criteria.



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



II.A.4 For those organizationsoperating in the field , theorganization shall give priorityto working with or through localand national institutions andgroups, encouraging their creation where they do notalready exist, strengtheningthem where they do and

Develop a list of the entities with primary responsibility in each countrywhere the organization operates. Gather organizational policy, guidelines and/or training material about working in

partnership with local communitygroups and/or instructors.





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developing clearly and publiclystated criteria for establishing

partnerships with such groupsand for fostering communityempowerment through

participation in the planning of programs and projects. (Source: 7.1.3)

Component II.B: Fostering Human Rights



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 required policy, documentation, procedures and/or


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)



II.C.1 The organizations procedures for programmonitoring and evaluation shalladdress the effective use of inputs , including human andfinancial resources.(Source: 7.1.9)

Materials summarizing theorganization's procedures for monitoringand evaluating the effective use of inputs.





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II.D.1 The organization shallexercise management andfinancial controls to provideassurance that the donor contributions 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 of restricted and unrestricted funds, anddocument all communications to the

public and donors on the use of restricted

and unrestricted funds.




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



II.E .1 Organizational 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.



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.



II.E.3 Human ResourceManagement: InterActionmembers shall implement hiring

policies and personnel procedures to prepare staff to

Materials recording the organization's procedures for preparation and supportof staff prior to, during and after fieldassignments relating to security risks.





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cope with the security issues attheir posts of assignment,support them during their service, and address postassignment issues. (Source:

7.6.3)


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

Materials recording the organization'sinstructions for personnel evaluationsrelated to security.



II.E.5 Sense of Community: InterAction members shall work

in a collaborative manner withother members of thehumanitarian and developmentcommunity to advance their common security interests.(Source: 7.6.5)

Materials recording the organization policy regarding sharing of security

information and other participation inefforts to enhance mutual security withother NGOs.



Component II.F: Fundraising and Commitment to Accurate Disclosure

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN

IF NOT IN COMPLIANCE

DOCUMENTATION

GATHEREDII.F.1 The organization shall

be truthful in marketing andadvertising.

Note: The organizationscommunications must neither minimize nor overstate thehuman and material needs of those whom it assists. (Source:

Summarize the methods used to assurethe accuracy of conditions portrayed inthe organization's communications. If no such guidelines exist, summarize themethods used to assure the accuracy of conditions portrayed in theorganization's communications. Gather and review sample-marketing guidelinesthat address the organization's accurate





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5.3)The organizationscommunications must notcontain any material omissionsor exaggerations of facts,

misleading photographs, nor anyother communication that wouldcreate a false impression or misunderstanding. (Source: 5.2)The materials must give accurate

balance to the actual programsfor which solicited funds will beused. (Source: 5.2)

portrayal of conditions in itscommunications. Survey donors toverify that the organizations intendedmessage is accurately getting through.

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

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

Component III.A: Administrative and Management



III.A.1 The organization shall be willing to share programknowledge and experience with

program participants, other agencies, donors and other constituencies. (Source: 7.1.10)

Review and summarize theorganization's efforts to share programknowledge and experience with program

participants, other agencies, donors andother constituents.



III.A.2 The organization shallhave, or plan to adopt within its

All policies that affirm the organization'scommitment to gender equity, racial and




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next strategic plan, written policies that affirm itscommitment to gender equality,racial and ethnic diversity andinclusion of people with

disabilities in staff and boardcomposition, in part by adopting policies 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 other relevant documentation. Assemblecopies of personnel policies that aredesigned to address any discrepancies in:

The female/male ratio of the senior staff at headquarters and in the field;

The female/male ratio of the

remaining headquarters staff; The percentage of employees with

disabilities (known to theorganization by the employee'svoluntary disclosure or some other legal means).




III.A.3 The 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





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utilization patterns of both female andmale staff.

III.A.4 The organization shallendeavor to recruit and retain

staff that combines professionalcompetence with a commitmentto service.

Note: To assist in therecruitment and retention of staff 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 orientationand training,

d) Inform staff of currentopenings, and

e) Carry out equitableremuneration and

promotions

Samples of advertisements of recent job openings from newspapers and

other media Compile 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 reachand attract a more diverse pool of candidates)



Note: Only tick one box!If non compliant with anyof the sections, Not incompliance box must be

ticked and action plangiven in the Action Plancolumn.

III.A.5 The organizations Samples of job descriptions and Yes, have the required



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hiring and personnel evaluation policies and practices halldemonstrate commitment togender and diversity issues anda commitment to gender equityand diversity. (Source 6.4.1.3, 6.4.2.3)

candidate interview questions for criteria/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 gender equity, diversity, and inclusion of peoplewith disabilities.



III.A.6 The organizations performance expectations of contractors shall be clearlydefined and communicated.(Source 6.3.3)

NOTE: Compliance with thiscomponent can be demonstratedthrough agreements between theorganization and contractors,including NGOs and other organizations.

Standard contracts used between theorganization and its contractors. If thereare any concerns, survey contractors for opinions/experience.



III.A.7 The organization'shuman resource development

program for U.S. staff at alllevels shall promote non-discriminatory workingrelationships and respect for diversity 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/or training addressing employment andservice-related diversity issues includinggender, racial, ethnic and physicaldisability.





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III.A.8 The organization shallmake financial arrangements to

protect its ability to honor itsobligations to employees.

(Source: 6.3.2)

Review payroll and benefit plan recordsto determine that the organization:

Has accurate records

Pays salaries and benefits when due Properly funds employee retirement plans

Pays payroll taxes on a timely basis Has corrected any shortcomings in

these areas, if any, and pointed outin an audit or management letter.



III.A.9 Staff who is engagedin fundraising and publicrelations shall meet thestandards of the Association of Fundraising Professionals andPublic Relations Society of America, respectively. (Source: 5.7)

Copies of any policies that address theethical practices expected of staff engaged in fundraising and publicrelations.



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

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



III.A.11 Organizations thatcontract for fundraisingactivities shall have written

Current or anticipated contracts for fund-raising activities with the dates they arein force.




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for those engaging in activitiesaimed at influencing legislationor other public regulations. Theorganization is responsible for determining if any of itsadvocacy or "lobbying"activities may be prohibitedunder these laws and/or regulations. (Source: 8.3)

activities.

III.B.3 If 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 written procedures for assessing the complianceof its public policy and advocacyactivities with its own policies.



Not applicable

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2010 InterAction Questions: Email [email protected] or [email protected]


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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 answer all of the following questions.

P a g e | 28Copyright 2010 InterAction Questions: Email [email protected] or

[email protected]


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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 strengthen your organizations processes, policies and/or systems? If so, pleasegive 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?


[email protected]


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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 andCategory 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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2010 self-certification-plus compliance form

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