Welcome, and thank you for your interest in pursuing accreditation/certification through the Nonprofit Alliance.

This form is designed to help us better understand your organisation’s current status and level of readiness as it relates to the accreditation/certification process. The questions included aim to gather preliminary insights into your existing structures, practices, and areas of focus.

Your responses will help us provide the most appropriate support and guidance as you explore the path toward becoming an accredited or certified organisation. We recognise that every organisation is on a unique journey, and this form is simply a starting point for that conversation.
Section 1 - Client Information

Question Title

1. Name

Question Title

2. Organisation Name

Section 2 - Certification Readiness
This section outlines the core requirements your organisation must meet to be eligible for certification, which is offered as a standalone designation or as a potential pathway toward full accreditation.

The checklist below reflects only the certification standards to help organisations assess their current alignment with foundational requirements. The certification standards and checklists can be reviewed here.

If your organisation feels confident and prepared to pursue accreditation directly, we encourage you to review the full accreditation standards and related checklists here along with the programme and service specific standards which can be found here.

Before proceeding with a full review (whether for certification or accreditation), it is strongly recommended that you read all relevant standards and checklists in detail to ensure your organisation’s policies, procedures, and supporting documentation fully meet the requirements.

Question Title

3. Do you have the following Administration & Service Environment (ASE) procedures in place?

  In place WIP Not in place Not applicable to our organisation
Behaviour support and management policy
Procedures for monitoring and addressing the physical, psychological, and emotional safety needs of persons served
Procedures that address harassment and violence towards service recipients and personnel
Procedures for preventing the need for emergency interventions, including restrictive behavior management interventions
Written information provided to service recipients and/or parents/legal guardians about how the organisation promotes positive behaviour
Procedures for accommodating the communication needs of clients
Client rights policy and procedures
Procedures for vehicle use including license validation, insurance coverage expectations, etc.
Monthly maintenance inspection reports for the prior six months
Documentation of corrective action where indicated
Documentation of license, driving records, and insurance validation
Contracts, including safety expectations, with any outside transportation providers, if applicable
Contracts/agreements with any host sites
Results of most recent safety and security assessment
Safety & Security Table of contents of training curricula
Documentation of measures taken to promote safety (e.g. relevant policies, procedures, work orders, etc.)
Safety & Security Training curricula
Documentation tracking staff completion of Safety & Security training
Emergency Response Plan
Emergency Response procedures
Table of contents of Emergency Response training curricula
Documentation of consultation with a health professional
Emergency ResponseTraining curricula
Emergency contact information
Documentation tracking staff completion Emergency Response training
Documentation tracking completion of training for persons served, as appropriate
Fire drill logs

Question Title

4. Do you have the following Client Rights procedures in place?

  In place WIP Not in place Not applicable to our organisation
Client Rights policy/ Bill of Rights
Client Rights procedures
Vulnerable persons policy
Code of Ethics
Grievance procedures, including a framework for reporting
Policy for providing services to minors without the consent of the parent or legal guardian
Fee schedule
Rights and responsibilities document provided to individuals and families at initial contact
Grievance reports for the past six months
Confidentiality policy
Confidentiality procedures
Sample release form for disclosure of confidential information
Human subject research policy
Human subject research procedures
Informed consent form template
Minutes from research proposal meetings for the previous six months
Signed consent forms for research activities

Question Title

5. Do you have the following Financial Management procedures in place?

  In place WIP Not in place Not applicable to our organisation
Governing Body minutes demonstrating active oversight of finances
Internal financial control manual that includes policies and procedures
Governing Body minutes where establishment of or compliance with internal controls were discussed
Investment policy
Results of most recent investment review
Governing Body minutes and/or committee meeting minutes where investments were reviewed
Budget planning procedures
Annual Budget
Most recent executive report on organisation finances
Sample of monthly analysis of financial performance
Operating reserves policy
Governing Body minutes reflecting budget planning and review of financial reports for the previous 12 months
Most recent audit or review and the accompanying management letter
Governing Body minutes reflecting review of the most recent audit or review
Financial management and accounting procedures
Job description of the person responsible for managing financial accounts
Resume of the person responsible for managing financial accounts
Procedures regarding protection of client funds and assets
Documentation tracking staff completion of training on the accounting system
Fundraising policies
Fundraising procedures
Analysis of costs and benefits for sample of fundraising activities
Financial statements/reports
Annual Report
Governing Body meeting minutes where fundraising was discussed

Question Title

6. Do you have the following Governance procedures in place?

  In place WIP Not in place Not applicable to our organisation
Mission statement
Strategic and annual planning procedures
Long-term strategic plan
Information about service population demographics
Assessment of strengths and weaknesses
Annual plan
Governing Body and/or committee meeting minutes where mission fulfilment and strategic planning were discussed
A list of Governing Body members, with brief bios
Website URL
Copies of trainings offered, PSAs, newspaper articles, other print media, or communication methods used within the past 12 months
Documentation of participation in community advocacy efforts
Strategic plan
Bylaws / Charter / Articles of Incorporation
Board Manual
Governing Body minutes for the previous 12 months
Succession planning procedures
Succession plan
Annual fundraising plan
Governing Body and/or committee meeting minutes from the previous 12 months addressing each of the GOV 5 practice standards
CEO job description
CEO resume
Conflict of interest policy
Ethical referral policy
Governing Body and/or committee meeting minutes documenting discussions of potential and apparent conflicts of interest from the previous 12 months
Policy protecting reporters of suspected misconduct
Procedures for reporting suspected misconduct
Documentation of any grievances/incidents related to retaliation

Question Title

7. Do you have the following Human Resource (HR) procedures in place?

  In place WIP Not in place Not applicable to our organisation
Assessment of workforce needs
Community Demographic Profile
A list of administrative and management personnel by department that includes: name, title, degree held and/or other credentials, role (e.g., employee, volunteer, or contractor)
Recruitment and selection policies
Recruitment and selection procedures
Background check policy
Background check procedures
Sample job descriptions from across job categories or positions
Summary results of most recent staff satisfaction survey
Summary results of most recent staff retention analysis
Table of Contents for personnel policies and procedures manual
Personnel grievance procedures
Documentation of actions taken to address satisfaction and retention concerns
Personnel policies and procedures manual
Grievance reports for the past six months
Performance review procedures
Performance evaluation forms/templates
Procedures for maintaining personnel records
Procedures regarding access to personnel records
Procedures for developing and reviewing volunteer/intern assignments
Volunteer/intern supervision procedures
Sample volunteer/intern assignments from across categories
Documentation tracking volunteer/intern completion of required trainings
Procedures for contracting and monitoring contracts with independent contractors
Case record content and maintenance procedures that address contractor requirements
Procedures for collecting quality data from contractors
Procedures for maintaining independent contractor records
Sample contracts with independent contractors
Documentation of contract compliance, including evidence of competencies/requirements associated with necessary qualifications and trainings

Question Title

8. Do you have the following Performance & Quality Improvement (PQI) procedures in place?

  In place WIP Not in place Not applicable to our organisation
PQI plan
PQI operational procedures
Document or chart that describes the organisation's PQI structure including committees, work groups, and member lists, as appropriate
PQI meeting/activity schedule for the next 12 months
Job description of staff member(s) responsible for oversight and coordination of the PQI system
Tables of contents of PQI training curricula
Job descriptions of staff with ongoing PQI responsibilities
Documentation tracking staff completion of PQI training
PQI training curricula
Client-Centered Logic Model with outcomes, outputs, data sources, indicators, and targets
PQI outcomes documentation (referenced in the Logic Model within each service standard)
Most recent Final Accreditation Report (FAR)
Regulatory/licensing or other external reviews/reports
Documentation that COA Stakeholder Surveys were distributed (e.g., email chains, Stakeholder Survey Recipient Reporting Form)
Case record review procedures, including sampling methodology
Sample of case record review data collection tool(s)
Most recent quarterly report from the case record review process
Results of external case record audits, if applicable
Procedures for collecting, reviewing, and aggregating PQI data
Data analysis/reports related to the elements in PQI 5.02
Most recent summary documents or reports provided to internal and external stakeholders
Procedures for sharing and reviewing reports and findings with staff and stakeholders
PQI committee/work group minutes for analysing PQI information
Documentation of stakeholder review and discussion of PQI results, including meeting minutes and agendas
Governing Body meeting minutes regarding review of PQI data
Documentation of improvements made from the analysis and use of PQI data, including any related corrective action/improvement plans

Question Title

9. Do you have the following Risk Prevention & Management (RPM) procedures in place?

  In place WIP Not in place Not applicable to our organisation
Signed compliance letter (by Governing Body Chair + CEO)
Compliance review procedures (laws, codes, operations, services)
(Networks only) Procedures for provider compliance
Most recent internal compliance review results
Governing Body minutes: discussion of legal compliance
Relevant programme/operations licenses
Regulatory/licensing reports (adverse findings or loss of licensure)
(Networks only) Copies of provider licenses & legal documents (in managing office)
Procedures: quarterly risk review
Procedures: investigation/review of critical incidents
Quarterly risk management reports
Independent investigation results (critical incidents)
Governing body/management minutes on risk management reviews
Notification to staff/board on insurance coverage (scope + limits)
Policy: legal assistance to personnel facing claims
(Networks only) Procedures to identify/verify provider insurance
Current insurance policies (with descriptions, amounts, dates)
Most recent annual insurance needs assessment
(Networks only) Insurance verification docs + provider communication
Technology assessment
Info management procedures/guidelines
Agreements with IT vendors/business associates (if applicable)
Data security policies
Data security procedures (HIPAA included if applicable)
Policies: social media, electronic communication, mobile device use
Procedures: same as above
Data interruptions/disaster recovery plan
Agreements with third parties (again, if applicable)
HIPAA compliance review results
Contracting procedures
List of contracts/service agreements/MOUs
Actual contracts/service agreements/MOUs
Board minutes from past 12 months showing contract reviews
Contract monitoring procedures
Contracts (again – for monitoring purposes)
Contractor progress reports
Contract remediation documentation (as applicable)

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