what the quam is and how it works

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Part 1: What the QuAM is and How it works

The NGO QuAM Working Group September 2006



1 What is the NGO Quality

Assurance Mechanism?

The NGO Quality Assurance Mechanism (QuAM) has been

developed for and by non-governmental organisations(NGOs) working in Uganda. It is the result of a

participatory process, with wide consultations

throughout the sector at national and regional levels,

through meetings, newspaper inserts and electronic

means. The QuAM was formally approved at a meeting

attended by a cross-section of NGOs in Kampala on 20

September 2006.

NGO Quality Assurance aims at promoting the

adherence by Civil Society Organisations to

generally acceptable ethical standards and

operational norms.

It sets principles and standards of behaviour

for responsible practice, to protect the

credibility and integrity of certified NGOs and

their networks in Uganda.

The QuAM has been specifically developed for what is

known in our country as ‘NGOs’ and ‘NGO networks.’ A

network is defined as a network of non-governmental

organisations, that is registered with the NGO Board or

district authorities, and that brings together other

organisations and/or individuals as its members. Loose

coalitions and temporary alliances are not included,

although quality standards may apply to their constituent

NGOs. A community-based organisation (CBO) or other

type of civil society organisation may also seek

certification, or use any of the standards that form part

of the certification requirements, in any way it sees fit. It

is hoped to develop alternative versions for other civilsociety organisations, such as CBOs, in due course.

Obtaining an NGO Quality Assurance Certificate is not a

legal requirement (contrary to NGO registration) but, once

issued, the provisions of a Certificate are binding on the

certified NGO. The QuAM goes beyond any single existent

code of conduct (such as those currently operated by

networks and other ‘apex’ NGOs); it is based on clearly

defined Quality Standards and sets out implementation

modalities, including sanctions in the case of any breach.

NGO certification is not unique to Uganda and where

useful, other experiences have informed its development.

The QuAM will be reviewed and amended where

necessary, after an initial period of implementation.

Further information on the QuAM, including detailed

procedures, can be found in the Implementation

Guidelines, and the Quality Standards leaflet, copies of

which are available at every District Quality Assurance

Certification office, c/o the District NGO Forum or

Network.

2 The NGO Quality Assurance

Certificate

An ‘NGO Quality Assurance Certificate’ is issued to a

candidate NGO that has met the laid-down requirements

by the National Certification Council (see below).

There are three certification levels: provisional

certificate, certificate and advanced certificate. The

Provisional Certificate is for NGOs that are of recent

creation and meet only selected minimum quality

standards . These NGOs are expected to apply for full

certification after one year. The full Certificate is issued

when all minimum quality standards have been met.

These must be respected by a certified NGO (or NGO

network) at all times. The Advanced Certificate is issued

to an NGO that has met all minimum standards, as well as

all standards for improvement . These standards for

improvement can also be used as future targets for NGOs

that meet the minimum standards, or to rate more

‘experienced’ NGOs at the outset.

The validity of a Certificate is for an initial period of 2

years. Upon application, and provided renewed

assessment is successful, an NGO will thereafter be

issued a certificate for consecutive periods of 3 years.

This is a learning and self-improvement scheme; we

expect a candidate NGO to have reached increasinglydemanding, but mutually agreed, performance standards

for every period.

To make the QuAM sustainable and internally driven, a

small charge is levied to cover operational and

administrative costs at the district level. A Certificate

can only be obtained if the candidate NGO has paid the

required fee. This fee is non-refundable.

A Certificate can be revoked if the agreed standards arebreached in a way that will endanger the credibility of an

NGO or the sector (e.g. diversion of resources, lack of

accountability, engaging in corrupt practices, etc.) The

District Committee (see below) has powers to recommend

O u r C o d e O f H o n o u r :O u r C o d e O f H o n o u r :O u r C o d e O f H o n o u r :O u r C o d e O f H o n o u r :O u r C o d e O f H o n o u r : T h e N G O q u a l i t y A s s u r a n c e C e r t i f i c a t i o n M e c h a n i s m ( Q u A M )T h e N G O q u a l i t y A s s u r a n c e C e r t i f i c a t i o n M e c h a n i s m ( Q u A M )T h e N G O q u a l i t y A s s u r a n c e C e r t i f i c a t i o n M e c h a n i s m ( Q u A M )T h e N G O q u a l i t y A s s u r a n c e C e r t i f i c a t i o n M e c h a n i s m ( Q u A M )T h e N G O q u a l i t y A s s u r a n c e C e r t i f i c a t i o n M e c h a n i s m ( Q u A M )



revoking a certificate to the National Council. The Council

may then demand its return, if it is satisfied that such a

breach has occurred. While every attempt has been made

to reduce any risk of influence peddling, and while

feedback will be given to any NGO whose certificate has

been revoked or whose application for a certificate has

been rejected, an aggrieved party may seek redress from

the District Committee and, if need be, appeal to the

National Council to have a decision reviewed.

3 Eight reasons to obtain an NGO

Quality Assurance Certificate

The NGO sector in Uganda has grown rapidly and is

increasingly recognised as an important player in ourcountry’s well-being. But this growth is not without its

problems: sometimes we are embarrassed by some of

our failings, sometimes we see unethical behaviour in

our sector; sometimes we are open to accusations and

do not have any instrument to respond. It is in the light

of this that NGOs in Uganda have decided to develop and

implement the QuAM. If your organisation obtains a

Quality Assurance Certificate, it will:

1. Enhance its credibility. One of the ambitions of

NGOs is to defend the rights of our fellow citizens. To

do so, one must adhere to the highest ethical

standards and best possible practices. With the

QuAM, we aim to ensure that the credibility of NGOs

is widely recognised in the eyes of the public,

Government, and other stakeholders. As the public

gains confidence in the certification mechanism, we

anticipate that Quality Assured NGOs will be identified

as partners of trust.

2. Enhance its legitimacy Given the doubts that

sometimes surround the legitimacy of NGOs, you may

wish to re-assert the ‘bona fide’ character of your

organisation. We anticipate that the QuAM will

become widely recognised as a ‘seal of approval’ for

NGOs working in Uganda.

3. Enhance protection and autonomy. To work

effectively, the freedom of action of NGOs (as

guaranteed by our Constitution) must be respected,

especially by Government. If NGOs are seen as

trustworthy, effective organisations, they are better

able to secure their necessary freedom of operation.

By enhancing your organisation’s credibility and

profile, you will also be better placed to defend its

interests against any pressure or manipulation.

4. Contribute to better cohesion amongst NGOs.

By working together to develop standards of good

practice, by sharing and applying these standards

across the sector, we expect enhanced cohesion

amongst NGOs, reducing the competitive pressures

that often undermine unity. In particular, the

Certification mechanism will strengthen district NGO

networks and fora.

5. Help to constantly improve performance. We

realise that, as NGOs, we shall never be perfect, but

we can strive towards perfection. The QuAM has been

designed to promote constant improvement, so that

we become more effective, more efficient, and better

learners. Every two or three years, new standards of

achievement will sharpen your organisational

ambitions.

6. Learn from examples. You may wish to learn from

those NGOs that are setting high standards in your

local community. Quality Assured NGOs will set a trend

for us all to follow.

7. Enhance accountability. As NGOs, we are

accountable to the general public, to our members,

to our local and external donors, to our government.

The QuAM will help us enhance our accountability to

these parties.

8. Raise profile. Having an NGO Certificate will signal

to the public that you belong to a genuine, recognised

group of voluntary organisations, striving to adhere

to high ethical and operational standards and toconstantly improve your performance. The list of

certified NGOs may be published from time to time. A

Certificate may help your organisation gain support

from potential sources of assistance (local

governments, the general public, other donors, etc).

4 The National NGO Quality

Assurance Certification

Council.

A National Certification Council, a body jointly appointed

by DENIVA, NGO Forum and other national networks (but

operating independently from them), oversees the QuAM




and is established solely for this purpose. The Council

issues an Annual Report, and reports to DENIVA, NGO

Forum and other national networks. It is funded

independently of the district committees, through

contributions from the NGO Forum, DENIVA, donor

agencies and other well-wishers.

The NGO Quality Assurance Certification Council issues

the Quality Assurance Certificates, upon

recommendation from the relevant District Quality

Assurance Committee. The National Council also acts as

the ‘keeper of the QuAM; it monitors its implementation,

keeps the required records, sensitises and trains the

district committees. It revises Quality Standards as and

when necessary, withdraws certificates from errand

NGOs, and hears complaints from any aggrieved NGO.

The Council collaborates with other relevant bodies, such

as the NGO Registration Board, the Office of the Prime

Minister, the office of the IGG, and other professional

bodies.

After an interim one-year period (to allow for

preparations and elections), the Council will consist of 7

members, of whom at least one-third are women: 1

representative nominated by the national NGO Forum, 1

by DENIVA, 1 representative elected by national thematicnetworks, 2 representatives selected from District NGO

networks, and 2 respected and independent persons

with extensive knowledge of civil society, one of whom

chairs the Council. Members are appointed in their

individual capacity, for a three-year term, renewable

once.

5 The District Quality Assurance

Certification Committee

The district committee is initially composed of 5 voluntary

members, of whom at least one third are women. It is

entirely composed of representatives from civil society,

respected figures in the district nominated and

recommended by the NGO district network/forum at a

meeting open to all network members. Members are

appointed for a three-year term, renewable once, at a

special meeting of executive committees of all district

NGO networks/fora and endorsed by the National Council.

To avoid any conflict of interest, no NGO district network

member or representative and no representative of a

candidate NGO (or intending candidate NGO) sits on the

Committee.

Besides recommending NGOs for certification to the

National Council, a District Committee may also

recommend to the National Council that a Certificate be

revoked, should a certified NGO flout the agreed

standards. Such revocation will be publicised, to protect

the public and other stakeholders. The Committee is also

expected to sensitise the NGO community on Certification

and its benefits, and may recognise ‘good performers’ in

ways it sees fit, such as by regularly publishing a list of

certified NGOs in the district. It may also organise

‘learning days’ where NGOs can share experiences

arising from the certification process.

While the District Quality Assurance Committee may be

supported administratively by the district NGO Forum or

Network, it operates independently and is funded through

the collection of certification fees. The Committee reports

to the executive committees of district networks. Where

two or more districts prefer to work together, they are at

liberty to have one District Committee to vet NGOs

operating in these several districts.

6 The NGO quality standards

Quality standards stand at the heart of the certification

mechanism. A quality standard is a defined benchmark

or target that an organisation promises to adhere to.

There are standards to be met for each certification level

(provisional certificate, certificate and advanced

certificate). There are altogether 59 standards: 32

minimum standards (including 18 standards for start-up

NGOs) and 27 standards for further improvement.

Standards are classified under (A) the NGO as an

organisation, (B) NGO programmes/activities and (C)

Further improving our performance. A separate

publication is available listing and explaining all QuAM

standards.

7 Public and ‘beneficiary’

vetting

As part of the Certification process, the District Quality

Assurance Committee will seek the views of the public,

especially in the area of operation of the candidate NGO,in ways it sees as appropriate. This ‘public’ may be

communities served by an NGO, its membership, its

constituencies or other stakeholders, as in the case of

organisations engaged in advocacy work.




Public vetting is done by informing the ‘public’ that the

NGO in the area is seeking certification and by soliciting

views, such as at a meeting at the local sub-county

headquarters, through written comments or by

interviewing whomever the Committee deems

appropriate. This will also provide an opportunity for

NGOs and other civil society organisations, LCs, local

Government, donor representatives, etc. working in the

area to send comments to the District Committee, if they

so wish. This information will be used in confidence by

the Committee.

8 Obtaining an NGO Quality

Assurance Certificate

The certification process has been designed to (i)

enhance learning, (ii) to be driven at the district level

and (iii) to avoid heavy costs (and thus become

sustainable). No more than 3 months should normally

elapse from the time an NGO has applied to be certified

until it receives its Certificate. The Certification

mechanism may take about one or two days of the

applicant NGO’s staff and/or members’ time.

The focus of the certification process consists of

assessing an applicant NGO’s ability to meet the Quality

Standards as described above. After a self-assessment

by the candidate NGO (replying to some of the questions),

the District Certification committee will in turn review

the performance of the NGO. This is mostly a joint exercise

with the candidate NGO, using the set standards. The

aim of the exercise is to point out areas of achievement

and areas for improvement, as a learning experience,

not as a policing tool. The exercise may however entail

(a) field visit(s) and/or other physical checks.

Where NGOs are principally active in Kampala district/

city, they will contact the Kampala district NGO network.

Where an NGO is registered to operate nationwide or

across several districts, it will seek certification in the

district where it is headquartered. If such an NGO also

operates programmes (or has sub-offices) in other

districts, public vetting is required in those areas. Where

NGO branches are operated in addition to a Head office,

local certification is required in the relevant district(s).

The certification mechanism has nine steps:

1. The candidate NGO applies for a Certificate: an application form is

obtained from the District Committee. This includes an annex: the QuAM

assessment form.

2. The candidate NGO pays the prescribed fee. The District Committee

may, at the NGO’s request, issue a letter to the candidate, certifying

that the certification process has begun. The NGO fills the self-

assessment part of the form, following the instructions given, and

returns it to the District Committee with a copy of the receipt, showing

payment of the certification fee.

3. The committee receives the form and publicises the fact that the

candidate NGO has applied for a certificate (such as on the sub-county

notice board in the NGO area of operation), soliciting any comments

within 1 month from the ‘public’ (as described above).

4. The district Committee holds a meeting with the candidate NGO (as

expeditiously as possible and normally no later than 1 month after

receiving the NGO request), to review the self-assessment and to jointly

assess the NGO, according to the standards listed on the form. Actual

verification takes place. The relevant section of the form is filled and

signed by representatives of both candidate NGO and Committee

members (at the office of the candidate NGO).

5. The committee fills in the ‘comments after NGO meeting’ section of the

form.

6. The Committee members scrutinise any feedback from the public and

may decide to seek additional information. The section ‘public comments

received’ of the form is then completed.

7. The committee sits to review all information and sends its

recommendation to the National Council, normally within 2 months of

the initial request. The Committee may provide recommendations for

improvements, and what might be needed to obtain a Certificate.

8. The National Council may (1) approve the recommendation and issue

the certificate (or provisional certificate), (2) seek additional

information, where required or (3) reject the recommendation, giving

its reasons for doing so. The Council normally issues a certificate within

1 month of receiving the District recommendation.

9. The Candidate NGO is advised by the District committee of the National

Council’s decision. The NGO is encouraged to provide feedback on the

fairness and other aspects of the Certification process to the district

Committee and/or national Council. Where the NGO is dissatisfied with

the decision of the Council, it may follow the conflict resolution

procedure, as detailed in the implementation guidelines (a copy of

which is available at the district committee office).




Development Network of

the Indigenous Voluntary

Associations (DENIVA)409 Makerere Rd.

Kagugube Zone

Block 9 (near Law Dev. Centre)

P.O. Box 11224

Kampala, Uganda

Phone : +256 (0) 41 530575/ 531150

Fax : +256 (0) 41 531236

Email : [email protected]

We b : www.deniva.or.ug

Uganda National NGO ForumPlot 25 Muyenga Tankhill Road - Kabalagala

P.O. Box 4636, Kampala

Tel: 031-260373; 041-510272/501674

Fax: 031-260372

Email: [email protected]

Web: www.ngoforum.or.ug

The NGO Quality AssuranceCertification Mechanism (QuAM) isin two parts.

Part Two are the QuAM Standardswhich NGOs operating in Ugandahave agreed to adopt and abideby in order to promote and protecttheir credibility and integrity.

The two parts must be read intandem

The NGO QuAM Working Group

L a y o u t

D e s i g n B y D r i l e V i c t o r

what the quam is and how it works

Documents