Ngo Certificate - PDF

							  NGO regulating themselves: The NGO Quality Assurance Mechanism
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 civil society
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.

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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
increasingly demanding, 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 are breached 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 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
our country’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,

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   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 to constantly 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 thematic networks, 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

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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.

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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

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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).




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