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

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

SECTION I: GOVERNANCE AND ADMINISTRATION STANDARDS...................................................................................................................2

Component I.A: Board Responsibility...........................................................................................................................................................................2
Component I.B: Board Policies .....................................................................................................................................................................................4
Component I.C: Fiscal Management And Accountability..............................................................................................................................................5
Component I.D: Equal Access Rights ............................................................................................................................................................................7
Component I.E: Organizational Integrity .......................................................................................................................................................................7
Component I.F: Management And Human Resources ...................................................................................................................................................9

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

Component II.A: Program Development......................................................................................................................................................................11
Component II.B: Fostering Human Rights ..................................................................................................................................................................13
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

SIGNATURE PAGE AND QUESTIONNAIRE

 2008 Self –Certification-Plus Compliance Form

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.

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
Barbara Wallace, Vice President of Membership & Standards at 202-667-8227 or 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 Not in compliance
as the organization's governing body Not applicable
with responsibility for governing all
aspects of the organization.

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

board 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 Not applicable
the 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 Yes, have policy
used to demonstrate compliance with Yes, but lack policy
all applicable laws. If legal action has Not in compliance
been initiated against the Not applicable
organization within 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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 2008 Self –Certification-Plus Compliance Form

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

IF NOT IN COMPLIANCE GATHERED
I.A.4 – The Organization’s The names of the board members
board shall exercise fiscal who are currently serving on the Yes, have policy
oversight of the organization board's financial oversight Yes, but lack policy
by: committee, including the name of Not in compliance
the organization’s treasurer, if Not applicable
a) Approving the annual applicable.
budget; Note: Organizations
Gather additional evidence, as with less than $100,000
b) Appointing an
appropriate, to verify the elements annual incomes are not
independent Certified
of the component. required to use an
Public Accountant as
independent auditor.
auditor;
(Source: § 4.2) The
c) Receiving and reviewing board can execute these
the annual, audited functions through the
financial statements, use of various
which comply with committees, including a
Generally Accepted financial oversight
Accounting Standards and committee.
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 Copies of all required documents.

annually report to the public by Yes, have policy
means of an annual report, or in Yes, but lack policy
separate report formats: Not in compliance

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 2008 Self –Certification-Plus Compliance Form
a) Audited financial Not applicable
statements,
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.
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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
by employees, and board members’
compensation and/or reimbursement
for expenses.
IF NOT IN COMPLIANCE GATHERED
Yes, have policy
Yes, but lack policy
Not in compliance
Not applicable
Note: This restriction
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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(Source: § 2.2)
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 Copy of the organization's budget for
operate according to a budget the current year.
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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 Yes, but lack policy
situations affecting board members Not in compliance
or employees, and compile any Not applicable
additional evidence 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
Yes, have policy
Yes, but lack policy
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 2008 Self –Certification-Plus Compliance Form
approved by its board. Not in compliance
Not applicable
(Source: § 4.7)

I.C.2 – The Organization’s The ratio or proportion of the

combined fundraising and
administration costs shall be
kept to the minimum
necessary to meet the
organization’s needs. (Source:
§ 4.6)
organization's total combined fund- Yes, have policy
raising and administrative costs to Yes, but lack policy
the total expenditures for each of the Not in compliance
past 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 Yes, but lack policy
avoid unauthorized payments, policies in assessing compliance with Not in compliance
prohibiting any unauditable I.A.4 and 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 Form 990 filed with the United States
shall file Form 990 annually government during the past three Yes, have policy
with the United States years. If no 990 is filed, annual Yes, but lack policy
government. audited financial statements shall be Not in compliance
made available. Not applicable
Note: Religious organizations
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
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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 Yes, have policy
and/or procedures which direct Yes, but lack policy
personnel to adhere to non- Not in compliance
discrimination practices in its Not applicable
eligibility decisions, and list the
organization's 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
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I.E.1 – Each director and
employee shall follow the
organization’s written standard
of conduct that provides that:
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)
2008 Self –Certification-Plus Compliance Form
 A copy of the organization's
written standard of conduct
 A copy of the pertinent section
of the organization's policies
and procedures which address
corrective actions to be taken in
response to founded
wrongdoing by Board
members, employees,
contractors and volunteers.
Yes, have policy
Yes, but lack policy
Not in compliance
Not applicable
Note: This standard
requires that the
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.

I.E.2 – The organization will Copy of the policy that protects

have policies to address
complaints and prohibit
retaliation against
whistleblowers. (Source: § 3.3)
employees who present evidence of
misconduct by individuals
associated with the organization.
Verify that policies and procedures
have been followed.

I.E.3 – The organization will Gather and review a copy of policy.

have policies for document Yes, have policy
retention and destruction that Yes, but lack policy
ensure protection of documents Not in compliance
during an official investigation. Not applicable
(Source §3.7)

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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
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)
I.F.2 – 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)
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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2008 Self –Certification-Plus Compliance Form
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
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
Policy that affirms the organization's
commitment to equal access to the Yes, have policy
organization's services and prohibits Yes, but lack policy
discrimination by the organization on Not in compliance
the basis of race, color, national Not applicable
origin, age, 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.
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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)
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2008 Self –Certification-Plus Compliance Form
Copy of the policies that affirm the
organization’s commitment to equal Yes, have policy
pay for equal work. Yes, but lack policy
Not in compliance
Not applicable
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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;
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
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2008 Self –Certification-Plus Compliance Form
PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION
IF NOT IN COMPLIANCE GATHERED
Draft a concise but comprehensive
description of the organization’s Yes, have policy
training manuals and services or Yes, but lack policy
gather and review a copy of material Not in compliance
containing this information. The Not applicable
following topics/materials should be
covered and verified that training Note: To achieve this
was documented and delivered. standard, the
Applicable organizational policies organization’s program
and standards include: planning and
implementation must
 Training manuals or guidelines reflect efforts to foster
for program design, mutually beneficial
implementation, monitoring and relationships among
evaluation peoples from varied
cultural and economic
 Gender analysis tools for backgrounds. Program
programming 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
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 program evaluation guidelines for Yes, have policy
shall be incorporated into each review of diversity criteria. Yes, but lack policy
stage of the program process, Not in compliance
from the review of project Not applicable
proposals to implementation
and 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)

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 2008 Self –Certification-Plus Compliance Form
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 developed over the past year to assess Yes, but lack policy
extent feasible. Organizations and verify that accessibility Not in compliance
will provide training and considerations were followed. Not applicable
conference 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 Develop a list of the entities with

organizations operating in the primary responsibility in each Yes, have policy
field, the organization shall country where the organization Yes, but lack policy
give priority to working with operates. Gather organizational Not in compliance
or through local and national policy, guidelines and/or training Not applicable
institutions and groups, material about working in partnership
encouraging their creation with local community groups and/or
where they do not already instructors.
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)

Component II.B: Fostering Human Rights

COMPONENT PROPOSED EVIDENCE COMPLIANCE ACTION PLAN DOCUMENTATION

IF NOT IN COMPLIANCE GATHERED
II.B.1 - In its program The organization's instructions,
activities, the organization directives, policies and/or procedures Yes, have policy
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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
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 Yes, have policy
monitoring and evaluating the Yes, but lack policy
effective use of 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 Not applicable
statements showing allocation of
resources for project and program
monitoring and evaluation activities;
human resources (staff/consultant)
with primary responsibility for M&E.
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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 Not applicable
which 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 Not applicable
restricted 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.F.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 Yes, have policy
preparing security plans at both the Yes, but lack policy
field and headquarters levels. Not in compliance
Not applicable
Materials recording the
organization's security- Yes, have policy
related resource allocations Yes, but lack policy
and/or budget guidelines regarding Not in compliance
security related expenditures. Not applicable
Materials recording the organization's
procedures for preparation and Yes, have policy
support of staff prior to, during and Yes, but lack policy
after field assignments relating to Not in compliance
security risks. 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
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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 Not in compliance
with 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 Yes, have policy
portrayed in the organization's Yes, but lack policy
communications. If no such Not in compliance
guidelines exist, summarize the Not applicable
methods used to assure the accuracy
of 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.
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 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
under-representation,
and;
Copyright 2008 InterAction
IF NOT IN COMPLIANCE GATHERED
Review and summarize the
organization's efforts to share program Yes, have policy
knowledge and experience with Yes, but lack policy
program participants, other agencies, Not in compliance
donors and other constituents. Not applicable
All policies that affirm the
organization's commitment to gender Yes, have policy
equity, racial and ethnic diversity, and Yes, but lack policy
inclusion of people with disabilities in Not in compliance
organizational structures and in staff Not applicable
and board composition. If the
organization has not yet adopted such Note: One option for
policies, prepare written plans to adopt members would be to
policies, meeting minutes discussing monitor their progress in
the development and adoption of such meeting these objectives
policies, or other relevant by developing a diversity
documentation. Assemble copies of chart like those required
personnel policies that are designed to by grantees of the Ford
address any discrepancies in: Foundation. For sample
diversity charts, please
 The female/male ratio of the senior contact InterAction.
staff at headquarters and in the
field;
 The female/male ratio of the
remaining headquarters staff;
 The percentage of employees with
disabilities (known to the
18 Questions: Email bwallace@interaction.org

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:
a) Define and update
objective entry
Copyright 2008 InterAction
2008 Self –Certification-Plus Compliance Form
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 Yes, but lack policy
leave, flexible work hours, Not in compliance
telecommuting, etc. Examine Not applicable
personnel records (approved 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 of candidates)
19 Questions: Email bwallace@interaction.org
 2008 Self –Certification-Plus Compliance Form
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, Not applicable
and 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 Yes, have policy
there are any concerns, survey Yes, but lack policy
contractors for opinions/experience. Not in compliance
Not applicable

NOTE: Compliance with this

component can be
demonstrated through
agreements between the
organization and contractors,
including NGOs and other

Copyright 2008 InterAction 20 Questions: Email bwallace@interaction.org


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 Not in compliance
including gender, racial, ethnic and Not applicable
physical disability.
Review payroll and benefit plan
records to determine that the Yes, have policy
organization: Yes, but lack policy
Not in compliance
 Has accurate records Not applicable
 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 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

III.A.10 – If the organization
engages in fundraising events
or cause-related marketing, the
amount of funds going to the
charity shall be clearly
described prior to, or in
conjunction with the effort..
(Source: § 5.5)
2008 Self –Certification-Plus Compliance Form
Samples of advertisements, invitations,
brochures, etc., that announce Yes, have policy
upcoming fundraising events or Yes, but lack policy
provide cause-related marketing. Not in compliance
Not applicable

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

contract for fundraising fund-raising activities with the dates Yes, have policy
activities shall have written they are 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 GATHERED
COMPLIANCE
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
will involve itself; and
 Define the process for
adopting and
implementing such
positions.

Copyright 2008 InterAction 22 Questions: Email bwallace@interaction.org

 2008 Self –Certification-Plus Compliance Form
(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 procedures for assessing the compliance Yes, have policy
to influence public policy in of its public policy and advocacy Yes, but lack policy
the United States or other activities with its own policies. Not in compliance
countries, it shall do so in Not applicable
accordance with its own
established policies. (Source:
§ 8.4)

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 order to help us structure the process to offer the most benefit to the membership, please answer all of the following
questions.
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 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?

Were the components helpful? The evidence of compliance definitions?

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

 2008 Self –Certification-Plus Compliance Form
Did you discover areas where your organization would benefit from technical assistance?

Do you have any recommendations on how Self-Certification Plus might be improved for 2010?

Did you agree with the assumption that all Category I and Category II Standards are mandatory? If not, which Category I and Category II
Standards would you not consider to be mandatory?

Other Comments

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