SCP ACCOUNTABILTY

TRANSPARENCY
EFFECTIVENESS

2008 Self-Certification Plus

Compliance Form
Office of Membership & Standards
InterAction, 1400 16th Street, NW, Suite 200, Washington, DC 20036
www.interaction.org
COMPLIANCE CERTIFICATION FORM
TABLE OF CONTENTS
 2008 Self –Certification-Plus Compliance Form

INTRODUCTION AND DIRECTIONS.................................................................................................................................................................................. ..........1

2008 SELF –CERTIFICATION-PLUS COMPLIANCE FORM ............................................................................................................................................ .......1

2008 SELF –CERTIFICATION-PLUS COMPLIANCE FORM ............................................................................................................................................ .......3

SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDS.............................................................................................................. .......................3

Component I.A: Board Responsibility..................................................................................................................................................................... ......................3
Component I.B: Board Policies............................................................................................................................................................................................. ........5
Component I.C: Fiscal Management and Accountability.............................................................................................................................................. ..................6
Component I.D: Equal Access Rights........................................................................................................................................................................ .....................8
Component I.E: Organizational Integrity.................................................................................................................................................................... ....................8
Component I.F: Management And Human Resources.................................................................................................................................................................. .10

SECTION II: PROGRAM STANDARDS................................................................................................................................................................. .....................11

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

SECTION III: ORGANIZATIONAL COMMITMENT STANDARDS............................................................................................................ ...........................18

Component III.A: Administrative And Management................................................................................................................................................................. ...18
Component III.B: Advocacy And Public Policy................................................................................................................................................................. ...........22

2008 SELF –CERTIFICATION-PLUS COMPLIANCE FORM ......................................................................................................................................... ........24

SIGNATURE PAGE AND QUESTIONNAIRE
INTRODUCTION AND DIRECTIONS

The 2008 Self Certification Plus Compliance Form must be submitted to InterAction by each member organization no later than December 31, 2008. This
process is mandatory for all InterAction members every other year and noncompliance will result in suspension from InterAction membership.
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 2008 Self –Certification-Plus Compliance Form

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.

Year 2006 witnessed the first mandatory year for InterAction members to comply with the PVO Standards by completing the Self-Certification Plus process.
As we begin 2008 and the second mandatory PVO Standards compliance exercise through Self-Certification Plus, we have made the process more user
friendly and have consolidated all the materials into one document. The only changes from 2006 are in sections II.C.2 of Program Quality and Monitoring and
Evaluation and II. E. 1- 5, a new section of Minimum Operating Security Standards. All other sections remain the same as in the 2006 process.

The actual form which follows is in Microsoft Word table format, with boxes designed in a “word-wrapping” format so that the boxes expand as you fill them
in. For each standard and its related components, the agency must indicate in the third column marked “Compliance” whether or not the standard and each
component of that standard have been met. To check the box, double click on it and a window will open to allow you to change it to a checked box. Should the
agency determine that a program standard does not apply, it must explain (briefly) its reasons for determining the standard is “not applicable” in that section.

The document explains each standard component and proposes documentation to be gathered and reviewed which provides evidence of compliance. Sections
I.A.1 thorough III.B must be completed fully using the information in columns marked “Component’ and “Proposed Evidence”. Check the appropriate box in
column marked “Compliance” and then either indicate your action plan in column four marked “Action Plan if not in Compliance” to address noncompliance
or indicate the documentation you used as evidence of compliance in column five. Each member is required to develop and indicate an action plan to address
areas of non-conformance. It has always been InterAction’s policy that a member is given one year to either come into compliance with non-conformance to a
standard or to demonstrate concerted movement toward coming into compliance in order to avoid possible suspension from membership.

The completed form, including the signature page constitutes a completed certification document. We also ask you to complete the questionnaire to help us
evaluate the process.

We will be using the results of the 2008 process to determine necessary revisions for 2010 and encourage you to give your feedback on the exercise and
suggestions for improving the process. If you have any questions or need additional clarification on how to complete the materials, please contact
bwallace@interaction.org.

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 2008 Self –Certification-Plus Compliance Form
The parenthetical term “Source” in these guidelines refers to the current PVO Standard(s) being applied to each standard heading and component under review.
Due to the consolidation, the “Source” standards are not in numeric order.

SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDS

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

Component I.A: Board Responsibility

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

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

I.A.2 – The Organization’s board Copies of pertinent sections of the

policies shall specify the
frequency of board meetings (at
least two meetings per year),
adequate attendance by directors
(at least a majority of directors
on average), and voting
requirements. Records of the
meetings shall be maintained..
(Source: § 2.2)
policy or bylaws that specify the Yes, have policy
frequency of board meetings, and Yes, but lack policy
defines the required attendance. Also Not in compliance
gather and document evidence that the Not applicable
board meetings were held as planned
and that formal records of such
meetings were permanently maintained.

I.A.3 – Policies and procedures Document internal policies and

shall be in place to ensure that
the activities are conducted
within applicable laws. (Source:
§ 2.7)
procedures that are in place to be used Yes, have policy
to demonstrate compliance with all Yes, but lack policy
applicable laws. If legal action has been Not in compliance
initiated against the organization within Not applicable
the last three years, document internal
policies and procedures followed, and
any actions taken, to respond to and
resolve legal action.

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COMPONENT
I.A.4 – The Organization’s board
shall exercise fiscal oversight of
the organization by:
a) Approving the annual
budget;
b) Appointing an independent
Certified Public Accountant
as auditor;
c) Receiving and reviewing the
annual, audited financial
statements, which comply
with Generally Accepted
Accounting Standards and
Requirements according to
the AICPA and the FASB;
d) Requesting and reviewing a
management letter, if
applicable; and
e) Reviewing the financial
statements and activities of
the organization.
f) Appropriate records shall be
maintained. (Source: §§ 2.5.
4.2)
I.A.5 – The Organization shall
annually report to the public by
means of an annual report, or in
separate report formats:
a) Audited financial
statements,
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2008 Self –Certification-Plus Compliance Form
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
The names of the board members who
are currently serving on the board's Yes, have policy
financial oversight committee, Yes, but lack policy
including the name of the Not in compliance
organization’s treasurer, if applicable. Not applicable
Gather additional evidence, as Note: Organizations
appropriate, to verify the elements of with less than $100,000
the component. annual incomes are not
required to use an
independent auditor.
(Source: § 4.2) The
board can execute these
functions through the
use of various
committees, including a
financial oversight
committee.
Copies of all required documents.
Yes, have policy
Yes, but lack policy
Not in compliance
Not applicable
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 2008 Self –Certification-Plus Compliance Form
b) IRS form 990 if applicable,
c) List of current board
members,
d) Other information that may
be helpful to the public in
understanding the
organization’s purposes,
goals, activities and
results. (Source: § 4.5)

Component I.B: Board Policies

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

I.B.1 – Documented board
policies shall:
a) Restrict the number of
employees who are voting
members of the board,
b) Provide limits for directors
being related to one
another, the founder, or the
executive director or
president/chief executive
officer,
c) Establish limited terms of
service for directors and
officers,
d) Prohibit compensation to
board members for
service as directors.
(Source: § 2.2)
IF NOT IN COMPLIANCE GATHERED
Copies of the appropriate sections of
the organization's policies and Yes, have policy
procedures that address the terms of Yes, but lack policy
service, restrictions on board members’ Not in compliance
relationships and services by Not applicable
employees, and board members’
compensation and/or reimbursement Note: This restriction
for expenses. applies only to payment
for services as a director
and does not apply to
salaried employees who
are also directors.
Reimbursement for out-
of-pocket expenses is
not considered
compensation.

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I.B.2 – Organization’s board
policy shall prohibit direct and
indirect conflicts of interest,
requiring that members of the
board and employees:
a) Disclose any affiliation they
have with an actual or
potential supplier of goods
and services, recipient of
grant funds, or organization
with competing or
conflicting objectives;
b) Absent themselves from
discussion and abstain from
voting or otherwise
participating in a decision
on any issue in which there
is a conflict of interest; and
c) Refuse large or otherwise
inappropriate gifts for
personal use.
(Source: § 2.3
Appropriate records shall be
maintained.
Component I.C: Fiscal Management and Accountability
The Organization’s finances are conducted in such a way as to assure appropriate use of funds. Appropriate records shall be maintained. (Source: § 4.1)
COMPONENT
I.C.1 – The Organization shall
operate according to a budget
approved by its board.
(Source: § 4.7)
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2008 Self –Certification-Plus Compliance Form
Those sections of the organization's
policies and procedures that address Yes, have policy
potential conflict of interest situations Yes, but lack policy
affecting board members or employees, Not in compliance
and compile any additional evidence Not applicable
that the organization is complying with Note: This standard
these policies and procedures. does not require that the
conflict of interest
policy provide an
exhaustive list of
conflict situations, but
that such a policy
provides a framework
for determining when a
situation would
constitute a conflict.
The management must
report staff conflicts of
interest to the board,
report major credibility
risks to the board, and
train new board
members, employees
and volunteers on
conflict of interest
requirements.
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Copy of the organization's budget for the
current year. Yes, have policy
Yes, but lack policy
Not in compliance
Not applicable
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I.C.2 – The Organization’s
combined fundraising and
administration costs shall be
kept to the minimum necessary
to meet the organization’s needs.
(Source: § 4.6)
2008 Self –Certification-Plus Compliance Form
The ratio or proportion of the
organization's total combined fund- Yes, have policy
raising and administrative costs to the Yes, but lack policy
total expenditures for each of the past Not in compliance
three years. Not applicable

Note: The organization should

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

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Component I.D: Equal Access Rights
COMPONENT
I.D.1 – The Organization shall
ensure that the fundamental
concern of the organization is
the well being of those affected,
and that its programs assist those
who are at risk without political,
religious, gender or other
discrimination. (Source: § 7.1.6)
I.D.2 – The agency shall have a
written policy that affirms its
commitment to gender equity, to
ethnic and racial diversity, to the
inclusion of people with
disabilities in organizational
structures and in staff and board
composition. The policy should
be fully integrated into an
organization’s plans and
operations, with a mechanism
mandated by the CEO for
overseeing implementation.
(Source: § 2.6.1/2/3 and 7.2.1,
7.3.1, 7.4.1)
Component I.E: Organizational Integrity
The affairs of the Organization are conducted with integrity and truthfulness. (Source: § 3.1)
COMPONENT
I.E.1 – Each director and
employee shall follow the
organization’s written standard
of conduct that provides that:
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2008 Self –Certification-Plus Compliance Form
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Copies of the organization's instructions,
directives, policies and/or procedures Yes, have policy
which direct personnel to adhere to non- Yes, but lack policy
discrimination practices in its eligibility Not in compliance
decisions, and list the organization's Not applicable
most recent personnel orientations,
trainings and instructional material
addressing non-discrimination.
Copy of the written policy and relevant
sections of operational plans. Yes, have policy
Yes, but lack policy
Not in compliance
Not applicable
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
• A copy of the organization's
written standard of conduct Yes, have policy
Yes, but lack policy
• A copy of the pertinent section of Not in compliance
the organization's policies and
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a) The organization opposes
and does not act as a
willing party to
wrongdoing, corruption,
terrorism, bribery, other
financial impropriety, or
illegal acts in any of its
activities;
b) The organization takes
prompt and firm corrective
action whenever and
wherever wrongdoing of
any kind is found among
its board and employees;
and
c) The standard of conduct is
maintained despite possible
prevailing contrary practices
elsewhere. (Source: §§ 3.2,
3.4)
I.E.2 – The organization will
have policies to address
complaints and prohibit
retaliation against
whistleblowers. (Source: § 3.3)
I.E.3 – The organization will
have policies for document
retention and destruction that
ensure protection of documents
during an official investigation.
(Source §3.7)
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2008 Self –Certification-Plus Compliance Form
procedures which address Not applicable
corrective actions to be taken in
response to founded wrongdoing Note: This standard
by Board members, employees, requires that the
contractors and volunteers. organization has
documented policies or
procedures to guide its
investigation of, and
corrective action to,
different types of
wrongdoing. These
documented policies or
procedures need not be
exhaustive, but they
should provide a
framework for
investigative and
corrective action.
Records of the
investigations and
corrective actions shall be
maintained.
Copy of the policy that protects
employees who present evidence of Yes, have policy
misconduct by individuals associated Yes, but lack policy
with the organization. Verify that Not in compliance
policies and procedures have been Not applicable
followed.
Gather and review a copy of policy.
Yes, have policy
Yes, but lack policy
Not in compliance
Not applicable
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 2008 Self –Certification-Plus Compliance Form

Component I.F: Management And Human Resources

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

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

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

I.F.2 – The Organization’s Policy that affirms the organization's

policies shall prohibit
excluding from participation,
denying benefits, or
otherwise subjecting to
discrimination any person on
the basis of race, color,
national origin, age, religion,
disability or gender in any
aspect of service delivery and
human resource practices.
(Source: §2.6)
commitment to equal access to the Yes, have policy
organization's services and prohibits Yes, but lack policy
discrimination by the organization on the Not in compliance
basis of race, color, national origin, age, Not applicable
religion, handicap or gender.
Track job applications to make sure all
applicants have been treated equally
according to policies and procedures.
Interview HR staff, if necessary.

Note: If an organization claims

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

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I.F.3 – The Organization shall
have documented policies and
practices that support equal pay
for equal work for women and
men in the United States.
(Source: §§ 6.4.1.5, 6.4.2.4)
SECTION II: PROGRAM STANDARDS
Component II.A: Program Development
Organization’s field programs should empower institutions and facilitate popular participation and sustainable development. (Source: § 7.1.1)
COMPONENT
II.A.1 – The Organization’s
programs shall facilitate self-
reliance, self-help and popular
participation by empowering
individuals and communities
and strengthening capacities of
local structures. (Source: §
7.1.1, 7.1.8) To this end, the
organization considers such
things as appropriate including
the program’s potential for
individual and community
empowerment;
a) The potential of planned
activities to strengthen
the capacity of local
structures;
b) The capacity of
local/regional institutions
to absorb financial and
other inputs
constructively;
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2008 Self –Certification-Plus Compliance Form
Copy of the policies that affirm the
organization’s commitment to equal pay Yes, have policy
for equal work. Yes, but lack policy
Not in compliance
Not applicable
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Draft a concise but comprehensive
description of the organization’s training Yes, have policy
manuals and services or gather and Yes, but lack policy
review a copy of material containing this Not in compliance
information. The following Not applicable
topics/materials should be covered and
verified that training was documented Note: To achieve this
and delivered. Applicable organizational standard, the organization’s
policies and standards include: program planning and
implementation must
• Training manuals or guidelines for reflect efforts to foster
program design, implementation, mutually beneficial
monitoring and evaluation relationships among
peoples from varied
• Gender analysis tools for cultural and economic
programming backgrounds. Program and
senior staff should be
trained in gender analysis
for program planning,
implementation and
evaluation.
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 2008 Self –Certification-Plus Compliance Form

c) The potential to
strengthen the capacities
of vulnerable groups,
typically women,
children, minorities, the
disabled, and the very
poor;

d) The potential of local

resources to sustain the
program;

e) Where resources exceed

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

II.A.2 - Where appropriate, Program planning, proposal and

awareness of diversity issues
shall be incorporated into each
stage of the program process,
from the review of project
proposals to implementation and
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program evaluation guidelines for Yes, have policy
review of diversity criteria. Yes, but lack policy
Not in compliance
Not applicable
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 2008 Self –Certification-Plus Compliance Form
evaluation, to ensure that
projects foster participation and
benefits for all affected groups.
The agency will collaborate with
partner NGO organizations in
the field to integrate diversity
issues into their programs.
(Source: § 7.3.2)

II.A.3 - Agency programs and Review training site locations and

activities should be held in formatting of training materials Yes, have policy
accessible locations to the extent developed over the past year to assess Yes, but lack policy
feasible. Organizations will and verify that accessibility Not in compliance
provide training and conference considerations were followed. Not applicable
materials in alternative formats
as applicable (Braille, sign-
language interpreters, etc) and
should plan financially to
reasonably accommodate people
with disabilities in their
programs and activities.
(Source: § 7.4.3)

II.A.4 – For those organizations Develop a list of the entities with

operating in the field, the primary responsibility in each country Yes, have policy
organization shall give priority where the organization operates. Gather Yes, but lack policy
to working with or through local organizational policy, guidelines and/or Not in compliance
and national institutions and training material about working in Not applicable
groups, encouraging their partnership with local community
creation where they do not groups and/or instructors.
already exist, strengthening
them where they do and
developing clearly and publicly
stated criteria for establishing
partnerships with such groups
and for fostering community
empowerment through
participation in the planning of
programs and projects. (Source:
§ 7.1.3)
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Component II.B: Fostering Human Rights
COMPONENT
II.B.1 - In its program
activities, the organization
respects and fosters human
rights, both socio-economic and
civil-political. (Source: § 7.1.4)
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
II.C.1 – The organization’s
procedures for program
monitoring and evaluation shall
address the effective use of
inputs, including human and
financial resources.
(Source: § 7.1.9)
II.C.2 – The organization shall
incorporate relevant monitoring
and evaluation (M&E) practices
in its policy, systems and
culture;
Conduct regular and deliberate
evaluative activities to examine
progress towards its goals and
mission; and apply adequate
financial and human resources
for monitoring and evaluation.
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2008 Self –Certification-Plus Compliance Form
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
The organization's instructions,
directives, policies and/or procedures Yes, have policy
that address the privacy and dignity of Yes, but lack policy
program beneficiaries. Not in compliance
Not applicable
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Materials summarizing the
organization's procedures for monitoring Yes, have policy
and evaluating the effective use of Yes, but lack policy
inputs. Not in compliance
Not applicable
Evaluation of completed programs;
meta-evaluation (or synthesis) of Yes, have policy
evaluative activities. Yes, but lack policy
Not in compliance
Budget allocation or financial statements Not applicable
showing allocation of resources for
project and program monitoring and
evaluation activities; human resources
(staff/consultant) with primary
responsibility for M&E.
14 Questions: Email bwallace@interaction.org

II.C.3 – For those organizations
with field operations, the
organization shall have the
capacity to provide financial and
performance oversight at the
local level, whether through a
field office structure or through
partnerships with local entities.
Note: This component addresses
internal organizational
mechanisms that assure
appropriate, ongoing oversight
of local/regional program
performance. This component
does not address the external
audits performed annually by an
independent certified auditor.
(Source: § 7.9.14)
Component II.D: Accountability
The resources generated are used and accounted for in a manner consistent with the programs and purposes described in appeals.
COMPONENT
II.D.1 – The organization shall
exercise management and
financial controls to provide
assurance that the donor
contributions are used as
promised or implied in the
fundraising appeal or as
requested by the donor.
(Source: § 4.8)
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2008 Self –Certification-Plus Compliance Form
Gather and review selections from the
following: Yes, have policy
Design monitoring and evaluation Yes, but lack policy
standards and evaluation policy for Not in compliance
programs and projects; documents which Not applicable
show adherence to professional
principles and standards, including
encouraging the participation of
communities and partners; an agency-
wide M&E system.
Material summarizing the organization's
procedures for providing oversight of
program finances and performance at the
local level. If any of this oversight
responsibility is outsourced, gather and
review a copy or summary of the
responsibilities to be carried out by the
contractor in this area.
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Policies on accounting practices and
reporting on the generation and use of Yes, have policy
restricted and unrestricted funds, and Yes, but lack policy
document all communications to the Not in compliance
public and donors on the use of restricted Not applicable
and unrestricted funds.
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Component II.E: Organizational Security Policy and Plans
InterAction members shall have policies addressing the key security issues (Source: §7.6.1)
COMPONENT
II.E .1 Organizational Security
Policy and Plans: InterAction
members shall have policies
addressing the key security
issues and formal plans at both
the field level and headquarters
levels to address these issues.
(Source: § 7.6.1)
II.E .2- Resources to address
security: InterAction members
shall make available appropriate
resources to meet these
minimum operating security
standards. (Source: § 7.6.2)
II.E.3– Human Resource
Management: InterAction
members shall implement hiring
policies and personnel
procedures to prepare staff to
cope with the security issues at
their posts of assignment,
support them during their
service, and address post
assignment issues. (Source: §
7.6.3)
II.E.4- Accountability:
InterAction members shall
incorporate accountability for
security into their management
systems at both the field and
headquarters level. (Source: §
7.6.4)
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2008 Self –Certification-Plus Compliance Form
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Materials recording the organization's
requirements for preparing security Yes, have policy
plans at both the field and headquarters Yes, but lack policy
levels. Not in compliance
Not applicable
Materials recording the
organization's security-related resource Yes, have policy
allocations and/or budget guidelines Yes, but lack policy
regarding security related expenditures. Not in compliance
Not applicable
Materials recording the organization's
procedures for preparation and support Yes, have policy
of staff prior to, during and after field Yes, but lack policy
assignments relating to security risks. Not in compliance
Not applicable
Materials recording the organization's
instructions for personnel evaluations Yes, have policy
related to security.. Yes, but lack policy
Not in compliance
Not applicable
16 Questions: Email bwallace@interaction.org

II.E.5 Sense of Community:
InterAction members shall work
in a collaborative manner with
other members of the
humanitarian and development
community to advance their
common security interests.
(Source: § 7.6.5)
Component II.F: Fundraising And Commitment To Accurate Disclosure
COMPONENT
II.E.1 – The organization shall
be truthful in marketing and
advertising.
Note: The organization’s
communications must neither
minimize nor overstate the
human and material needs of
those whom it assists. (Source: §
5.3)
The organization’s
communications must not
contain any material omissions
or exaggerations of facts,
misleading photographs, nor any
other communication that would
create a false impression or
misunderstanding. (Source: §
5.2)
The materials must give accurate
balance to the actual programs
for which solicited funds will be
used. (Source: § 5.2)
Copyright 2008 InterAction
2008 Self –Certification-Plus Compliance Form
Materials recording the organization
policy regarding sharing of security Yes, have policy
information and other participation in Yes, but lack policy
efforts to enhance mutual security with Not in compliance
other NGO’s. Not applicable
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Summarize the methods used to assure
the accuracy of conditions portrayed in Yes, have policy
the organization's communications. If Yes, but lack policy
no such guidelines exist, summarize the Not in compliance
methods used to assure the accuracy of Not applicable
conditions portrayed in the
organization's communications. Gather
and review sample-marketing guidelines
that address the organization's accurate
portrayal of conditions in its
communications. Survey donors to
verify that the organization’s intended
message is accurately getting through.
17 Questions: Email bwallace@interaction.org
 2008 Self –Certification-Plus Compliance Form

SECTION III: ORGANIZATIONAL COMMITMENT STANDARDS

Several PVO Standards do not easily lend themselves to clear and objective measurement. More important than defining an absolute measurement is a member's ability to
provide evidence that internal policies have been adopted/implemented, reflecting an organizational commitment to regular, deliberate progress toward meeting these
broader institutional objectives.

Component III.A: Administrative And Management

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

III.A.1 – The organization shall
be willing to share program
knowledge and experience with
program participants, other
agencies, donors and other
constituencies. (Source: §
7.1.10)
III.A.2 – The organization shall
have, or plan to adopt within its
next strategic plan, written
policies that affirm its
commitment to gender equality,
racial and ethnic diversity and
inclusion of people with
disabilities in staff and board
composition, in part by adopting
policies and procedures to
increase:
a) The numbers of women
in senior decision-
making positions, where
there is under-
representation, at
headquarters and in the
field;
b) Ethnic and racial
diversity, where there is
IF NOT IN COMPLIANCE GATHERED
Review and summarize the
organization's efforts to share program Yes, have policy
knowledge and experience with program Yes, but lack policy
participants, other agencies, donors and Not in compliance
other constituents. Not applicable
All policies that affirm the organization's
commitment to gender equity, racial and Yes, have policy
ethnic diversity, and inclusion of people Yes, but lack policy
with disabilities in organizational Not in compliance
structures and in staff and board Not applicable
composition. If the organization has not
yet adopted such policies, prepare Note: One option for
written plans to adopt policies, meeting members would be to
minutes discussing the development and monitor their progress in
adoption of such policies, or other meeting these objectives
relevant documentation. Assemble by developing a diversity
copies of personnel policies that are chart like those required by
designed to address any discrepancies in: grantees of the Ford
Foundation. For sample
• The female/male ratio of the senior diversity charts, please
staff at headquarters and in the contact InterAction.
field;
• The female/male ratio of the
remaining headquarters staff;

Copyright 2008 InterAction 18 Questions: Email bwallace@interaction.org


under-representation,
and;
c) The inclusion of people
with disabilities, where
there 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.3
above]
III.A.3 – The organization shall
institute family friendly policies
and create an environment that
enables both women and men to
balance work and family life.
(Source § 6.4.1.4)
III.A.4 – The organization shall
endeavor to recruit and retain
staff that combines professional
competence with a commitment
to service.
Note: To assist in the
recruitment and retention of
staff with the skills, experience
and attitudes that increase the
probability that service delivery
will meet the industry's
standards for efficiency and
effectiveness, the organization
should regularly carry out the
following activities:
Copyright 2008 InterAction
2008 Self –Certification-Plus Compliance Form
• The percentage of employees with
disabilities (known to the
organization by the employee's
voluntary disclosure or some other
legal means).
The organization’s personnel policies
shall identify the inclusion of family Yes, have policy
friendly elements, such as parental leave, Yes, but lack policy
flexible work hours, telecommuting, etc. Not in compliance
Examine personnel records (approved Not applicable
leaves, individual work schedules, etc.)
to examine the extent to which these
policies are being utilized and the
utilization patterns of both female and
male staff.
• Samples of advertisements of recent
job openings from newspapers and Yes, have policy
other media Yes, but lack policy
Not in compliance
• Compile job descriptions Not applicable
• Compile samples of recent internal
announcements of job openings
• Describe opportunities made
available to staff to upgrade skills
• Compile a list of the organization’s
recruitment outreach (e.g., evidence
of specific efforts being made to
reach and attract a more diverse pool
19 Questions: Email bwallace@interaction.org
 2008 Self –Certification-Plus Compliance Form
of candidates)
a) Define and update objective
entry qualifications for each
job category,
b) Devise and carry out
effective advertising
campaigns for job
openings,
c) Provide adequate and
equitable staff orientation
and training,
d) Inform staff of current
openings, and
e) Carry out equitable
remuneration and
promotions

III.A.5 – The organization’s Samples of job descriptions and

hiring and personnel evaluation
policies and practices hall
demonstrate commitment to
gender and diversity issues and
a commitment to gender equity
and diversity. (Source §§
6.4.1.3, 6.4.2.3)
III.A.6 – The organization’s
performance expectations of
contractors shall be clearly
defined and communicated.
(Source § 6.3.3)
candidate interview questions for Yes, have policy
criteria/questions that address Yes, but lack policy
commitment to and experience with Not in compliance
promoting gender equity, diversity, and Not applicable
inclusion of people with disabilities.
Review the organization’s performance
assessment form for criteria/questions on
elements related to advancing gender
equity, diversity, and inclusion of people
with disabilities.
Standard contracts used between the
organization and its contractors. If there Yes, have policy
are any concerns, survey contractors for Yes, but lack policy
opinions/experience. Not in compliance
Not applicable

NOTE: Compliance with this

component can be demonstrated
through agreements between the
Copyright 2008 InterAction 20 Questions: Email bwallace@interaction.org

organization and contractors,
including NGOs and other
organizations.
III.A.7 – The organization's
human resource development
program for U.S. staff at all
levels shall promote non-
discriminatory working
relationships and respect for
diversity in work and
management styles by
integrating gender, diversity and
disability sensitization into its
orientation and training
programs. (Source: §§ 6.4.1.1,
6.4.2.1, 6.4.3.2, 6.4.1.6)
III.A.8 – The organization shall
make financial arrangements to
protect its ability to honor its
obligations to employees.
(Source: § 6.3.2)
III.A.9 – Staff who is engaged
in fundraising and public
relations shall meet the
standards of the Association of
Fundraising Professionals and
Public Relations Society of
America, respectively. (Source:
§ 5.7)
Copyright 2008 InterAction
2008 Self –Certification-Plus Compliance Form
Copies and review of the current
curricula used for orientation and/or Yes, have policy
training addressing employment and Yes, but lack policy
service-related diversity issues including Not in compliance
gender, racial, ethnic and physical Not applicable
disability.
Review payroll and benefit plan records
to determine that the organization: Yes, have policy
Yes, but lack policy
• Has accurate records Not in compliance
• Pays salaries and benefits when due Not applicable
• Properly funds employee retirement
plans
• Pays payroll taxes on a timely basis
• Has corrected any shortcomings in
these areas, if any, and pointed out in
an audit or management letter.
Copies of any policies that address the
ethical practices expected of staff Yes, have policy
engaged in fundraising and public Yes, but lack policy
relations. Not in compliance
Not applicable
21 Questions: Email bwallace@interaction.org
 2008 Self –Certification-Plus Compliance Form

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

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

III.A.11 – Organizations that Current or anticipated contracts for fund-

contract for fundraising raising activities with the dates they are Yes, have policy
activities shall have written in force. Yes, but lack policy
contracts or agreements Not in compliance
outlining the terms and retain Not applicable
control of all fund-raising
activities conducted on their
behalf. (Source: § 5.6)

Component III.B: Advocacy And Public Policy

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

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

• Describe the criteria or

circumstances in which it
Copyright 2008 InterAction 22 Questions: Email bwallace@interaction.org
 2008 Self –Certification-Plus Compliance Form
will involve itself; and
• Define the process for
adopting and
implementing such
positions.
(Source: §§ 8.1, 8.2)
III.B.2 – If engaged in Written procedures for assessing the
lobbying, the organization's compliance of its public policy and Yes, have policy
advocacy, public policy and advocacy activities with applicable Yes, but lack policy
lobbying activities shall United States non-profit law. Not in compliance
conform to applicable United Not applicable
States non-profit law. (Source § Prepare a list of public policy and
8.3) advocacy activities in which the
organization has been engaged during
The United States non-profit the past 24 months, arranged by the
law provides strict guidelines country that is the object of these
for those engaging in activities activities.
aimed at influencing legislation
or other public regulations. The
organization is responsible for
determining if any of its
advocacy or "lobbying"
activities may be prohibited
under these laws and/or
regulations. (Source: § 8.3)

III.B.3 – If the organization All of the organization's written

undertakes activities intended to
influence public policy in the
United States or other countries,
it shall do so in accordance with
its own established policies.
(Source: § 8.4)
procedures for assessing the compliance Yes, have policy
of its public policy and advocacy Yes, but lack policy
activities with its own policies. Not in compliance
Not applicable

Copyright 2008 InterAction 23 Questions: Email bwallace@interaction.org

 2008 Self –Certification-Plus Compliance Form

INTERACTION
PVO STANDARDS
COMPLIANCE CERTIFICATION FORM 2008
SIGNATURE PAGE

Name of Organization

Name of CEO or Board Chairman (Please Print)

Signature of CEO or Board Chairman Date

Copyright 2008 InterAction 24 Questions: Email bwallace@interaction.org

 2008 Self –Certification-Plus Compliance Form

In or der to he lp us struct ur e the pr oces s to of fer the most benefit to the me mbers hip , please answer al l of the
fol lowing qu estio ns.
Na me of the or ganizat ion : __ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ ____ _

Did you fin d the Self -Cer ti fic at io n Plus pr ocess usef ul for you inst it uti on al ly? If yes , plea se expla in ho w.

Did t he pro cess lea d to any reco gni ti on to stren gt hen pro cesses, po licies a nd /o r sys tems? If so , p lea se giv e ex amp les.

Who lea d the ef for t a nd wh o where t he ot her ind ivid ua ls an d divis ions en ga ged in Self -Ce rt ifi ca ti on Plus at you r org ani zat io n?

Were t he co mp onen ts help ful? The evide nce of co mpl ian ce defi nit io ns?

Copyright 2008 InterAction 25 Questions: Email bwallace@interaction.org

 2008 Self –Certification-Plus Compliance Form

Did you dis cov er area s where your org an iz at io n wo uld benefi t from te chni ca l assis ta nc e?

Do you h ave an y rec om mend at io ns on ho w Self -Cer ti fic at io n Plus mi ght be impr oved for 2010?

Di d you agree w it h the ass ump ti on t ha t a ll C at eg or y I an d Ca te go ry I I S tan da rds a re man da tor y? If no t, whi ch Ca te go ry I a nd C at eg or y
II S tan da rds w oul d you no t co nside r to be ma nd at ory ?

Othe r Co mment s

Copyright 2008 InterAction 26 Questions: Email bwallace@interaction.org