Source document: https://docs-lawep.s3.us-east-2.amazonaws.com/1698833123424.pdf (Saint Vincent and the Grenadines)
QUESTIONNAIRE FOR NON-PROFIT ORGANISATIONS (NPOs) This questionnaire is designed to obtain information on Non-Profit Organisations (NPOs) within St. Vincent and the Grenadines in order to determine the Terrorist Financing risk they may be exposed to.

Therefore, kindly complete each section and attach any additional documents where necessary.

Part A: Entity Information 1.


Name of the Non-Profit Organisation (NPO): __________________________________ ________________________________________________________________________ 2.

Registered address of the NPO: ______________________________________________ ________________________________________________________________________ NPO’s mailing address (if different): __________________________________________ ________________________________________________________________________ 3.
Contact information for the NPO: Telephone_____________ E-mail:_________________ Website_______________ Fax: ____________________ Other (specify) _____________________ 4.

What is the legal structure of the NPO?

a) Registered Company b) Trust c) Charitable Organisation (formed by an Act of Parliament) d) Other (please specify)___________________________________ 5.
Type of premises occupied by the NPO (select all that are applicable): __ Commercial __Residential __ Rental __ Owner Other (specify) _________________________________________________________ 6.

Does the NPO have a parent body or is affiliated with any other NPO or Trust (Local or International)?

__Yes __ No If yes, state the names, addresses, purpose and activities of these NPOs and / or Trusts: Address Purpose Activities No Names Part B: Nature of Operations 7.
What are the types of activities and percentage (%) of annual activities performed by the NPO (estimate where necessary)?

Kindly comment only on the activities which apply to your NPO.

Type of Activity % of Annual Activity Social Services Child/Youth Welfare Education Health Care Sports and recreation Environmental Arts and Culture Human Rights Religious Animal Welfare Advocacy Other (Please specify) 8.
Please provide a brief description of the nature of the activities/ services selected above in (7): __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ __________________________________________________________________________ Part C: Management 9.
Briefly describe the organisational structure of your NPO.

________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 10.

Is any of the information relating to organisational structure of the NPO and the board of directors above made available to the public?

☐ Yes ☐No 2 11.
☐ Yes ☐No 2 11.

If yes to question 10, in what way it is published or made available to the public?

________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 12.

Has any Director / Board member received training in: a. Anti- Money Laundering b. Counter- Financing of Terrorism Yes_______ No_______ Yes ______ No_______ 13.
How often are Board meetings held?

________________________________________ 14.

Is the NPO managed or controlled by a foreign body or individual (s)?

Yes_______ No___________ 15.


If yes, kindly describe the control structure and provide the jurisdiction (s) in which the foreign body or individual (s) is located ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ Part D: Funding 16.
Please indicate the top five (5) primary sources of income (e.g.

Donors, Government, Trust, Fundraising Initiative etc.).

Kindly specify whether these sources are local, regional or international.

No.

Source of Primary Income 1.

% of Primary Income 2.

3.

4.

5.

17.

What are the fundraising methods used by the NPO?

a.

Cash collections b.

Social media/ online collections/ Go Fund me c. Public donations d. Membership fees e. Other (please specify)___________________ Part E: Banking Information 18.
Has the NPO opened an account with any of the following Financial Institutions?

a.

Bank b.

Credit Union c. Other (please specify)__________ 19.

Are the accounts established by the NPO: a.

Business Accounts ______ b.

Personal Accounts ______ 3 20.

How many signatories are there to the account (s)?

______________.

Kindly state the position held within the Organisation by each signatory.
________________________________________________________________________ ________________________________________________________________________ 21.

Were there any difficulties experienced when setting up accounts?

Yes_____ No____ If yes, please briefly state or describe the difficulties faced?
(This information will aid in identifying areas which may require greater training for financial institutions) ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ Part F: Financial Information 22.
What was the NPO’s annual inflow, outflow and asset size for the last three (3) financial years, 2018-2020?

Year Annual Inflow (Income) Annual Outflow (Expenditure) Asset Size Part G: Cross Border Operations and Activities 23.

Does the NPO: a.

Raise or disburse funds internationally?

Yes______ No________ b.

Have international operations?

Yes ________ No_______ 24.

What is the estimated value of funds received from and / or sent to foreign jurisdictions for the last financial year?
Received: $ ____________________ Sent: $ __________________ Kindly indicate the foreign jurisdictions from which funds were received and/or sent within the last financial year: ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 25.
Does the NPO engage in cross border activities?

Yes ___________ No____________ If yes, please describe the activities and state the jurisdictions involved.

________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 26.

What percentage of your activities involve cross border fundraising disbursement and operations?

_________________ 4 27.


Does the NPO make disbursements (including its own operations and activities) to humanitarian efforts?

Yes_______ No____________ 28.

If yes, please describe the activities and state the jurisdictions which receive these disbursements.
________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ Part H: Method of Transactions 29.

What percentages of the last financial year’s receipts were derived from the following % of Annual Activity methods of payment: Payment Method Cash in hand Credit Card Debit Card Wire Transfer Money Remittance (i.e.

Western Union etc.)
Western Union etc.)

Standing Orders Virtual Assets (e.g.

bitcoin, ethereum) In kind (e.g.

food items, vehicles) Gift or Donations Other (specify) 30.
For cash transactions, please select which currency/currencies below apply and the annual percentage (%) of receipts attributed to each currency selected: % of Annual Receipt Currency Eastern Caribbean Dollar (XCD) United States Dollar (USD) Canadian Dollar (CAD) Pound Sterling (GBP) European Currency (EURO) Barbados Dollar (BDS) Trinidad and Tobago Dollar (TTD) Other (please specify) 31.
What percentage of your disbursement / assistance is conducted via: % of Annual Activity Payment Method Cash Cheque Goods Services Money Remittance (i.e.

Western Union etc.)

Bank Credit union Virtual Assets (e.g.

bitcoin, ethereum) Other NPOs Other( please specify) 5 32.

Is funding / resources sent directly to your NPO’s bank account or via another NPO or organisation or body for disbursement?
________________________________________________________________________ ________________________________________________________________________ If your response is the latter, kindly state, within the last financial year, the NPOs / Organisations collecting the funds / resources on your organisation’s behalf, the Donors providing the funds/ resources and a description / value of funds / resources collected and transferred.
Name of NPO/ Organisation Name of Donor/s Funds/resources collected and transferred 33.

Do you collect, retain, transfer, allocate or deliver resources /funds to other NPOs or organisations?

Yes _____________ No________ If yes, kindly state, within the last financial year, the NPOs/ Organisations in receipt of the funds / resources, the Donors providing the funds/ resources and a description / value of funds/ resources collected and transferred.
Name of NPO/ Organisation Name of Donor/s Funds/resources collected and transferred Part I: Staffing 34.

Indicate the number of paid staff and / or unpaid volunteers of the NPO Paid Staff: __________________ Unpaid Volunteers: ____________________ 35.

What is the average period of employment?

(years or months):_____________________ 36.

What is the process for recruitment?


________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ Part J: Internal Policies and Procedures 37.

Is the Board of Directors responsible for any of the following activities (please select all that are applicable)?
☐ Policy making & Implementation ☐ Project selection ☐ Donor Vetting ☐ Donation Collection ☐ Hiring Staff ☐ Recruiting Volunteers ☐ Management and allocation of Finances & Other assets ☐ Accountability & Quality assurance for projects & actions of the NPO 6 ☐ Other __________________________________ (specify) 38.

If no to any of the activities in question 36 above, please state who is responsible for the activity.
_______________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 39.

Is the management structure in which decisions are made: a.

Decentralized ________ b.

Centralized __________ 40.


Does your organisation cross-reference the names of staff, donors or volunteers with any designated individuals or entities on the United Nations Sanctions list or any other list?

No________ Yes ________ If yes, kindly state which other lists are checked.
________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 41.

Is a vetting process done for donors and potential donors?

☐Yes ☐No 42.
☐Yes ☐No 42.

If, a vetting process is undertaken, does it include any of the following (select all that are applicable)?

☐ Name ☐ Address ☐ Source of funds ☐ Photographic Identification ☐ Contractual agreement ☐ Background check ☐ Other________________________ 43.

If a vetting process for donors is not undertaken please state why?
________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 44.

Are any of the donors or individuals with whom you conduct transactions Politically Exposed Persons (PEP)1?

Yes _____________ No________ Do Not Know ________ 45.

Do you have Counter Financing of Terrorism (CFT) Policies or other policies which govern your organisation?
Yes _____________ No________ 1 Politically exposed persons are persons who have been entrusted with prominent functions by a foreign country, domestically or by an international organisation such as Heads of State or of government, senior politicians, senior government, judicial or military officials, senior executives of state-owned corporations, important political party officials, directors, deputy directors etc.

7 46.

Do your donors have Counter Financing of Terrorism (CFT) Policies?
Yes _____________ No________ Do Not Know ________ 47.

Briefly describe how donors and beneficiaries are verified by the NPO?

________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 48.
Briefly describe the procedure by which funds / resources are retained, transfered, delivered and disbursed by the NPO.

________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 49.
Are all transactions recorded and monitored?

Yes _____________ No_________ If yes, kindly describe what information is recorded, how (manually or electronically) and how long is it kept?
________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ______________________________________________________________________________ _____________________________________________________________________________ 50.

Are transactions reviewed for suspicious patterns of activity?

Yes____________ No__________ If yes, how often?


________________________________________________________ 51.

What is the level of risk that the NPO is prepared to accept in pursuit of its objectives?

a.

No risk ___________ b.

Low risk___________ c. Medium risk________ d. High risk__________ 52.

Is your NPO governed by : a.

Ethical and professional standards and guidelines ________ b.
Internal codes of conduct _____________ c. Policies which facilitate accountability_________ d. Other (please specify)___________ 53.

Are annual returns completed by your NPO?

☐Yes ☐No 54.

If yes to question 53 above, are your annual returns made available to the public and donors?

☐Yes ☐No 55.

If yes to question 54 above, please state where your annual returns can be viewed?

_________________________________________________________________ 8 56.
Is there a grievance procedure in place for the public, donors or recipients to make queries regarding funding or disbursement or any other issues that may arise and to have them resolved?

☐Yes ☐No 57.

If yes to question 56 above, please state the procedure applied for the making and resolution of the grievance and state who is responsible for addressing such grievances?
________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 58.

If no to question 56 above, please state why?


___________________________________ ________________________________________________________________________ ________________________________________________________________________ _____________________________________________________________________________________________ I declare that to the best of my knowledge and belief all of the information which I have provided in this questionnaire is correct.
Name: _____________________________________ Signature: __________________________________ Position: ____________________________________ Date: _______day of ______________20__________ 9