2010 Self-Certification-Plus Compliance Form_0

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/


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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

P a g e | 1Copyright 2010 InterAction Questions: [email protected] [email protected]

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]
mailto:[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 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, 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





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any actions taken, to respond to andresolve legal action.

Not applicable



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.




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,



Component I.B: Board Policies



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.


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.



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.


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.



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)



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.


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.




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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)



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.



Component I.D: Equal Access Rights



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, 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.


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.


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



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,



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.


procedures and/orprocesses in place.Yes, but lack policy


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.



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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)



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.



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.




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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.



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



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.



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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.



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.




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.




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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



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.




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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.




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.



Component II.D: AccountabilityThe resources generated are used and accounted for in a manner consistent with the programs and purposes described in appeals.



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.




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



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.



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



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.




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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)


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.



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.




Component II.F: Fundraising and Commitment to Accurate Disclosure



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




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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).




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




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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)




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.



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.




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




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outlining the terms and retaincontrol of all fund-raisingactivities conducted on their

behalf. (Source: 5.6)


Component III.B: Advocacy and Public Policy



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.



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.





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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.




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P a g e | 25Copyright 2010 InterAction Questions: [email protected] or

[email protected]

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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P a g e | 26Copyright 2010 InterAction Questions: [email protected] or

[email protected]

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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2010 Self-Certification-Plus Compliance Form_0

Documents

Transcript of 2010 Self-Certification-Plus Compliance Form_0