Document 6548996
Transcription
Document 6548996
Global Fund Project Mauritius Programme Management Unit (PMU) Global Fund Grants Operations Manual For Implementation of Global Fund Round 8 HIV Project preventing new HIV infections & providing a continuum of comprehensive care to all PLWHA, so as to mitigate impact of the epidemic on individuals, families, communities and society in Mauritius and Rodrigues Islands from 2010-2014. June 26, 2009 Global Fund Project Funding for technical assistance was provided by the United States President’s Emergency Plan for AIDS Relief and the United States Agency for International Development under contract No. GHS-I-02-07-00006-00. II Global Fund Project Table of Contents Chapter 1: Introduction 9 1.1. INTENDED USERS OF THE MANUAL ......................................................................................................... 9 1.2. HOW TO USE THE MANUAL ..................................................................................................................... 9 1.3. STRUCTURE OF THE MANUAL .................................................................................................................. 9 Chapter 2: Background Information 10 2.1. OVERVIEW OF THE GLOBAL FUND ........................................................................................................ 10 2.1.1. The Board ....................................................................................................................................... 10 2.1.2. Global Fund Secretariat ................................................................................................................. 11 2.1.3. Technical Review Panel (TRP) ....................................................................................................... 11 2.1.4. Portfolio Management Teams and Fund Portfolio Managers ........................................................ 11 2.2. OVERVIEW OF IN-COUNTRY STRUCTURES ............................................................................................ 12 Chapter 3: Institutional Structures, Roles and Responsibilities13 3.1. COUNTRY COORDINATING MECHANISMS (CCM) ................................................................................. 13 3.2. CCM SECRETARIAT .............................................................................................................................. 14 3.3. LOCAL FUND AGENT (LFA) ................................................................................................................... 14 3.4. THE PRINCIPAL RECIPIENT (PR) ........................................................................................................... 15 3.4.1. Selection of PRs .............................................................................................................................. 16 3.5. SUB-RECIPIENTS (SR) .......................................................................................................................... 16 3.5.1. Assessment of PRs Sub-Recipient Management Capacity .............................................................. 17 3.5.2. Appointment of Sub-Recipients by the PR ...................................................................................... 17 3.6. ROLES & RELATIONSHIPS IN GF GRANTS ............................................................................................ 17 3.6.1. Roles of the PR, the GF Secretariat & the LFA .............................................................................. 17 3.6.2. Roles from Proposal Approval to First Disbursement ................................................................... 18 3.6.3. Roles during Phase I Grant Implementation .................................................................................. 20 3.6.4. Role of the CCM ............................................................................................................................. 21 3.6.5. Technical & Development Partners ............................................................................................... 22 3.7. COMMUNICATION AND COORDINATION ................................................................................................. 23 3.7.1. Reporting and Communication between the Global Fund, CCM, PR and LFA ............................. 23 3.7.2. Reporting and Communication between PRs and SRs.................................................................... 24 3.7.3. Coordination / Harmonization ................................................................................................... 2526 Chapter 4: Programme Implementation 27 4.1. PROGRAMME RESPONSIBILITY .............................................................................................................. 27 4.2. PROGRAMME DESCRIPTION .................................................................................................................. 27 4.3. ANNUAL W ORK PLANS AND BUDGETS .................................................................................................. 27 4.4. PROGRAMME PHASES ........................................................................................................................... 27 4.4.1. Phase 1 ....................................................................................................................................... 2728 4.4.2. Phase 2 ........................................................................................................................................... 28 Table 4.1: Phase 2 Process ...................................................................................................................... 28 4.4.3. LFA Review of Phase 2 Budget .................................................................................................. 3031 4.5. REPROGRAMMING ............................................................................................................................. 3032 4.6. TECHNICAL HARMONIZATION............................................................................................................. 3234 4.7. PROGRAMMATIC REPORTING ............................................................................................................ 3234 4.7.1. Global Fund Reporting Requirements ........................................................................................ 3235 4.7.2. Progress Update and Disbursement Request (PUDR) ............................................................... 3335 4.7.3. Annual progress Report .............................................................................................................. 3335 4.8. ROLLING CONTINUATION CHANNEL (RCC) ...................................................................................... 3436 4.9. GRANT CLOSE-OUT........................................................................................................................... 3437 Chapter 5: Management of Sub-Recipients 3640 5.1. GLOBAL FUND GUIDELINES ............................................................................................................... 3640 5.2. SELECTION OF SUB-RECIPIENT......................................................................................................... 3741 III Global Fund Project 5.3. LFA PRE-ASSESSMENT .................................................................................................................... 3741 5.4. SUB-GRANT AGREEMENTS ............................................................................................................... 3843 5.5. MONITORING AND REPORTING .......................................................................................................... 4044 5.6. SELECTION OF SSRS (IF APPLICABLE).............................................................................................. 4146 Chapter 6: CCM Oversight 4247 6.1. ROLE OF THE CCM ........................................................................................................................... 4247 6.2. ROLE OF THE CCM OVERSIGHT COMMITTEE ................................................................................... 4248 6.3. ROLE OF THE CCM SECRETARIAT .................................................................................................... 4348 6.4. REPORTING OBLIGATIONS OF THE PR .............................................................................................. 4449 Chapter 7: Procurement Management 4551 7.1. GFATM POLICIES AND GUIDELINES ................................................................................................. 4551 7.2. COMPETITIVE TENDERING ................................................................................................................. 4551 7.3. TENDERING METHODS....................................................................................................................... 4652 7.4. PROCUREMENT OF CONSULTANT SERVICES ..................................................................................... 4652 7.5. PHARMACEUTICAL AND OTHER HEALTH PRODUCTS ........................................................................ 4652 7.5.1. Procurement assessment and procurement plan ........................................................................ 4652 7.5.2. List of medicines to be procured................................................................................................. 4753 7.5.3. Forecasting and inventory management..................................................................................... 4753 7.5.4. Procurement Responsibilities ..................................................................................................... 4753 7.5.5. Procurement Practices ............................................................................................................... 4754 7.5.6. Lowest Possible price ................................................................................................................. 4854 7.5.7. Compliance with quality standards ............................................................................................ 4854 7.5.8. National drug registration (must comply with local requirements if any).................................. 4956 7.5.9. Monitoring supplier performance............................................................................................... 4956 7.5.10. Monitoring product quality....................................................................................................... 4956 7.5.11. Supply chain ............................................................................................................................. 5056 7.5.12. Avoidance of diversion ............................................................................................................. 5056 7.5.13. Adherence to treatment protocols, drug resistance and adverse effects ................................... 5056 Chapter 8: Financial Management 5157 8.1. OVERVIEW OF FINANCIAL MANAGEMENT FOR GF ............................................................................ 5157 8.2. FINANCIAL MANAGEMENT OBJECTIVES............................................................................................. 5257 8.3. ROLES AND RESPONSIBILITIES OF THE PR AND THE SRS ............................................................... 5258 8.4. FINANCIAL ACCOUNTING, PROCEDURES AND SYSTEMS REQUIREMENTS ....................................... 5360 8.5. PRE-GRANT FINANCIAL MANAGEMENT CAPACITY ASSESSMENT .................................................... 5460 8.6. GFR8 BUDGET .................................................................................................................................. 5460 8.7. MONTHLY FINANCIAL PROGRESS REPORT ....................................................................................... 5461 8.8. DISBURSEMENT AND FLOW OF FUNDS PROCEDURES ...................................................................... 5561 8.8.1. Disbursement Procedures: from the GF Secretariat to PR ........................................................ 5561 8.8.2. Disbursement from the PR to SRs ............................................................................................... 5662 8.8.3. Processing Payments from the PR Bank Account to the SRs ...................................................... 5763 8.9. DISBURSEMENT FROM THE SRS TO THE SSRS................................................................................ 5965 8.10. PMU EXPENDITURES ...................................................................................................................... 5965 8.10.1. Petty Cash Fund Procedure...................................................................................................... 5965 8.10.2. Cash Advance Procedure ......................................................................................................... 6066 8.11. BANK ACCOUNTS, INTEREST, PROGRAM REVENUE REQUIREMENTS AND SIGNATORIES FOR FINANCIAL TRANSACTIONS .......................................................................................................................................... 6066 8.12. TRAVELS .................................................................................... ERROR! BOOKMARK NOT DEFINED.67 8.12.1. Local Travel.............................................................................................................................. 6067 8.12.2. International Travel.................................................................................................................. 6167 8.13. REPORTING TO THE GFATM ............................................................................................................ 6167 8.13.1. Reporting Requirements ........................................................................................................... 6167 8.13.2. Quarterly Progress Update and Disbursement Request (PUDR)............................................. 6268 8.13.3. Annual Progress Report ........................................................................................................... 6268 8.13.4. Variance Analysis ..................................................................................................................... 6269 8.13.5. Record Keeping ........................................................................................................................ 6369 8.14. ENHANCED FINANCIAL REPORTING (EFR) ....................................................................................... 6369 8.14.1. Background............................................................................................................................... 6369 IV Global Fund Project 8.14.2. Timelines................................................................................................................................... 6370 8.14.3. The EFR Template Format ....................................................................................................... 6470 8.14.4. Preparing for the EFR .............................................................................................................. 6572 8.15. LFA VERIFICATION .......................................................................................................................... 6572 8.16. AUDIT............................................................................................................................................... 6672 8.16.1. Internal Audit............................................................................................................................ 6672 8.16.2. Independent Audit of Principal Recipient and SRs ................................................................... 6672 8.17. FOREX MANAGEMENT ...................................................................................................................... 6673 8.18. TAXES AND DUTIES .......................................................................................................................... 6673 8.19. ASSET MANAGEMENT ...................................................................................................................... 6673 8.19.1. Acquisition, Inventory Management and Procedures ............................................................... 6673 8.19.2. Tagging of Equipment .............................................................................................................. 6773 8.19.3. Safeguard of Assets ................................................................................................................... 6774 8.19.4. Disposition of Assets ................................................................................................................. 6774 8.19.5. Property Transfers.................................................................................................................... 6774 8.19.6. Project Supplies and Items Distributions ................................................................................. 6774 8.19.7. Insurance Coverage .................................................................................................................. 6774 Chapter 9: Monitoring and Evaluation 6875 9.1. PRINCIPLES OF GFATM IN TERMS OF M&E ....................................................................................... 6875 9.2. KEY ELEMENTS OF A M&E PLAN ....................................................................................................... 6875 9.3. GOALS AND OBJECTIVES OF THE MAURITIUS NATIONAL HIV/AIDS M&E........................................ 6976 9.4. THE NATIONAL M&E FRAMEWORK FOR GFR8.................................................................................. 6976 9.5. DATA COLLECTION AND ANALYSIS ..................................................................................................... 7582 9.6. DATA FLOW ........................................................................................................................................ 7684 9.7. DATA MANAGEMENT .......................................................................................................................... 7987 9.8. DATA REPORTING ............................................................................................................................... 8492 9.9. INFORMATION PRODUCTS ................................................................................................................... 8492 9.10. DATA QUALITY................................................................................................................................. 8593 9.11. CAPACITY STRENGTHENING ............................................................................................................. 8694 9.12. EVALUATION AND RESEARCH ........................................................................................................... 8795 9.13. COORDINATION OF M&E ACTIVITIES ............................................................................................... 8795 Chapter 10: Human Resource Policies & Procedures 9097 10.1. RECRUITMENT / CONTRACT RENEWAL OF PROJECT AND OTHER STAFF ........................................... 9097 10.2. PAYMENT OF SALARIES AND OTHER BENEFITS .................................................................................. 9097 10.3. HONORARIA OF OTHER GOVERNMENT STAFF SUPPORTING THE PROJECT ......................................... 9097 Chapter 11: Termination of Project or Grant 9198 11.1. GRANT TERMINATION OR SUSPENSION BY GLOBAL FUND............................................................... 9198 11.1.1. At the sole discretion of Global Fund. ...................................................................................... 9198 11.1.2. Procedures upon Termination. ................................................................................................. 9198 11.1.3. Transfer. ................................................................................................................................... 9198 11.2. PROJECT TERMINATION OR SUSPENSION BY PR OR SR ..................................................................... 9299 11.2.1. Successful completion of project activities ............................................................................... 9299 11.2.2. Suspension and termination of project activities .................................................................... 93100 11.2.3. Force Majeure ........................................................................................................................ 93100 11.2.4. Breach of Contract ................................................................................................................. 94101 11.2.5. Suspension of Activities .......................................................................................................... 94101 11.2.6. Termination of Activities......................................................................................................... 95102 11.2.7. NAS/MFPWA’s Convenience.................................................................................................. 95102 Chapter 12: Project Communication 96103 V Global Fund Project List of Tables Table 1: Phase 2 – Funding Beyond Phase 1 Process ...................................................... 31 Table 2: Global Fund Performance Rating System ............................................................. 33 Table 3: Global Fund Performance Rating System and Outcomes ...................................... 33 Table 4: CCM Oversight vs. Monitoring and Evaluation ..................................................... 50 Table 5: Procurement Classes .............................................................................................. 54 Table 6: Financial Management Roles and Responsibilities ................................................ 61 Table 7: Entitlements for Local Travel Rates ........................................................................ 69 Table 8 Entitlements for International Travel......................................................................... 69 Table 9: Timelines for Financial Reporting 70 Table 10: Project Deadlines................................................................................................... 72 Table 11: Goal, objectives, impact, outcome and input indicators and targets .................... 79 Table 12: Output indicators: data source, frequency and data collection period ................ 84 Table 13: Impact and outcome indicators: data source, frequency, etc .............................. 88 Table 14: Time Line For Reporting ........................................................................................ 94 Table 15: Monthly Honoraria ................................................................................................. 99 List of Figures Figure 1: Global Fund Structures .......................................................................................... 12 Figure 2: Reporting and Communication Flow between PRs & SRs ................................... 28 Figure 3: Global Fund Project Management & Implementation Structure ............................ 43 Figure 4: Flow of funds, financial reporting and liquidations ................................................. 59 Figure 5: Financial Management Information Flow ............................................................... 66 Figure 6: Data flow: routine monitoring data ......................................................................... 87 Annexes Annex 1. Annex 2. Annex 3. Annex 4. Annex 5. Annex 6. Annex 7. Annex 8. Annex 9 Annex 10 Grant Monitoring and Evaluation Plan Template Quarterly Narrative Progress report SR Quarterly Progress Update and Disbursement Request to PR Bank Reconciliation Statement Quarterly Procurement Plan Fixed Assets Inventory PPMU Quarterly Data Quality Feedback Form PR Disbursement Notification and SR Acknowledgment Declaration of Interest PR Progress Update and Disbursement Request to GFATM VI Global Fund Project Abbreviations and Acronyms CCM CP PU/DR FMS FPM GF HIV LFA M&E NGO PBF PHPM PMC PR PSM SDA SR SSR SWAp TA TRP Country Coordinating Mechanism Condition Precedent Progress Update/ Disbursement Request Financial Management and Systems Fund Portfolio Manager (GF) Global Fund Human Immunodeficiency Virus Local Fund Agent Monitoring and Evaluation Non-governmental organisation Performance-based funding Pharmaceutical and Health Products Management Programme Management Capacity Principal Recipient Procurement and Supply Management (as in ‘PSM Plan’) Service delivery area Sub-recipient Sub-sub-recipient Sector-wide approach Technical Assistance Technical Review Panel VII Global Fund Project Preface This Operations Manual for the Implementation of the Global Fund Grant (GFATM) is framed in all the conditions and requirements that the National AIDS Secretariat (NAS) – Government PR and Mauritian Family Planning and Welfare Association (MFPWA) – public PR as Principal Recipients (PR), must comply with to operate the grant. The Manual specifies all processes and procedures that the PR should continue to manage resources as well as the roles and responsibilities of the Programme Management Unit (PMU) for the corresponding accountability. The purpose of this document is to detail how the PRs will monitor, evaluate and report on progress made in terms of the activities defined in Mauritius’s GFATM Project. These monitoring, evaluation, reporting and data management procedures will not only provide information for programme implementation, but will also form the basis of continued disbursements. Data for both technical and financial reporting will be collected and analyzed in the spirit of the Global Fund performance-based funding. VIII Global Fund Project Chapter 1: Introduction 1.1. Intended Users of the Manual The manual is designed to be used primarily by the implementers of Global Fund to Fight AIDS Tuberculosis and Malaria (GFATM), who will be responsible for the day-to-day implementation of the GFATM Project in the selected project sites. Other major users of this manual include: Decision-makers and program managers, to better understand how the GFATM Project is being implemented and how it is assisting and supporting implementation of national policies and strategies toward the prevention and control of Malaria; Other Department of Health, offices supporting project implementation, to increase their awareness of the project scope and deliverables, and use the guidelines contained in the manual in facilitating and processing documents related to project activities. Other Non-government organizations (NGOs) and partners, to better understand the GFATM Round 8 HIV/AIDS Project objectives and implementation processes and understand the specific guidelines in the implementation of the project activities. 1.2. How to Use the Manual The manual contains procedures that will guide project implementation in terms of management, partnership coordination, administration, capacity building and technical assistance. Detailed procedures for financial management and monitoring and evaluation are also included. 1.3. Structure of the Manual The Manual is presented in twelve sections as follows: Chapter 1: Chapter 2: Chapter 3: Chapter 4: Chapter 5: Chapter 6: Chapter 7: Chapter 8: Chapter 9: Chapter 10: Chapter 11: Chapter 12: Introduction Background Information Institutional Structures, Roles and Responsibilities Programme Implementation Management of Sub-Recipients CCM Oversight Procurement Management Financial Management Monitoring and Evaluation Human Resource Policies and Procedures Termination of Project or Grant Project Communication 9 Global Fund Project Chapter 2: Background Information 2.1. Overview of the Global Fund The Global Fund to Fight AIDS, Tuberculosis and Malaria (the Global Fund) was established in 2001 “to dramatically increase resources to fight three of the world’s most devastating diseases, and to direct those resources to areas of greatest need.” It was founded on a set of principles as follows: • • • • • • • Operate as a financial instrument, not an implementing entity. Make available and leverage additional financial resources. Support programs that reflect national ownership. Operate in a balanced manner in terms of different regions, diseases and interventions. Pursue an integrated and balanced approach to prevention and treatment. Evaluate proposals through independent review processes. Establish a simplified, rapid and innovative grant-making process and operate transparently, with accountability. The principles are fully described in the Global Fund’s Framework Document. The Global Fund website http://www.theglobalfund.org/en/ provides access to a wide range of resource material and reports on activities. The key Global Fund structures are the Board, the Secretariat and the Technical Review Panel, backed by a network of Local Funding Agencies (LFAs) contracted to represent the Fund in-country. The Global Fund has no in-country presence. Figure 2.1 shows the Global Fund Structures in Geneva and in-country. 2.1.1. The Board The Global Fund is governed by a Foundation Board consisting of twenty voting members and four non-voting members. The functions, appointment processes and operational arrangements for the Board are set out in the Global Fund By-Laws . The Global Fund's international Board includes representatives of donor and recipient governments, non-governmental organizations, the private sector (including businesses and foundations) and affected communities. Key international development partners also participate, including the World Health Organization (WHO), the Joint United Nations Programme on HIV/AIDS (UNAIDS) and the World Bank. The latter also serves as the Global Fund's trustee. 10 Global Fund Project The Board meets at least twice annually and is responsible for overall governance of the organization, including approval of grants. The Board Committee Rules and Procedures provides detail of the operating arrangements for the four Board committees. 2.1.2. Global Fund Secretariat The Global Fund Secretariat, located at the Geneva headquarters, is responsible for managing the day-to-day operations of the Foundation including mobilizing resources from the public and private sectors, managing grants, providing financial, legal and administrative support, and reporting information on the Global Fund's activities to the Board and the public. The composition and functions of the Secretariat are set out in the Global Fund By-Laws. Most importantly, the Secretariat organize the receipt and review of grant applications and, for those approved by the Board, negotiate and execute grant agreements. The Secretariat is headed by an Executive Director. Each proposal received by the Global Fund is screened by the Secretariat for completeness and eligibility. The Secretariat may contact Applicants for clarifications. 2.1.3. Technical Review Panel (TRP) The TRP is an independent body of international experts in HIV, tuberculosis, and malaria, as well as cross-cutting experts who are tasked by the Global Fund to advise whether the planned interventions will help achieve the objectives and goal(s) of the proposal. It reviews proposals based on the criteria set out in the Guidelines decreed by the Global Fund for each Round of Grants, specifically the TRP looks for proposals that demonstrate the desired characteristics in the following categories: • • • Soundness of approach; Feasibility; Potential of sustainability and impact. If an Applicant submits a proposal for more than one disease, each disease component will be reviewed separately by the TRP. The Terms of Reference of the TRP provide more information on its role, membership and operational arrangements. More information on the TRP is available at the Global Fund’s website at http://www.theglobalfund.org/en/trp/ The Global Fund strongly encourages applicants for Grants to read the Reports by the TRP on the consideration of funding applications in the various funding rounds for lessons learned before completing Proposal Forms. The TRP is also called upon to review any reprogramming proposed by the CCM, where such reprogramming may substantially alter the goals, objective and targets of the original grant. 2.1.4. Portfolio Management Teams and Fund Portfolio Managers The Portfolio Management Team consists of eight clusters. Each cluster is headed by a Cluster Leader. Within each cluster, there are several Fund Portfolio Managers (FPMs). 11 Global Fund Project Each grant is assigned to an FPM. The FPM, therefore, is the main Global Fund contact person for CCMs and PRs during the implementation phase of a grant. Figure 1: Global Fund Structures Global Fund Geneva In country Structure 2.2. Overview of in-country Structures The Global Fund provides for in-country structures that need to be in place to implement grants. These structures include the Country Coordinating Mechanism (CCM), the Local Fund Agent (LFA), The Principal Recipients (PR), The Sub-Recipients (SR), Sub-SubRecipient (SSR). The guidelines on the purpose, structure and composition of the CCM, the Fiduciary Arrangements for Grant Recipients and the Grant Agreements outline the roles and responsibilities of the in-country organs. 12 Global Fund Project Chapter 3: Institutional Structures, Roles and Responsibilities At each country level, the Country Coordinating Mechanism (CCM) is designed as a partnership composed of all key stakeholders in a country’s response to the three diseases. The CCM does not handle Global Fund financing itself, but is responsible for submitting proposals to the Global Fund, nominating the entities accountable for administering the funding, and overseeing grant implementation. The CCM can be based on an alreadyexisting body, but a country can instead decide to create a new entity to serve as CCM. Most CCMs have secretariats to provide administrative and technical support to the CCMs and assist in their day to day functioning. Since the Global Fund does not have staff in the countries where grants are being executed, it signs contract with firms who provide services as Local Fund Agents (LFAs) to monitor implementation. LFAs are responsible for providing recommendations to the Global Fund Secretariat on the capacity of the entities chosen to manage Global Fund financing (proposed Primary Recipients – PRs) and on the soundness of regular requests for the disbursement of funds and result reports submitted by the PRs chosen by the CCM and with whom the Global Fund has signed grant agreements. The Global Fund signs a legal grant agreement with a Principal Recipient (PR), which is designated by the CCM. The PR receives Global Fund financing directly, and then uses it to implement prevention, care and treatment programs or passes it on to other organizations (sub-recipients SRs) who provide those services. Many PRs both implement and make subgrants. There can be multiple PRs in one country, can be public or private, national or international entities. The PR also makes regular requests for additional disbursements from the Global Fund based on demonstrated progress towards the intended results.1 3.1. Country Coordinating Mechanisms (CCM) Country Coordinating Mechanisms are central to the Global Fund's commitment to local ownership and participatory decision-making. These country-level partnerships develop and submit grant proposals to the Global Fund based on priority needs at the national level. After grant approval, they oversee progress during implementation. CCMs should include representatives from both the public and private sectors, including governments, multilateral or bilateral agencies, non-governmental organizations, academic institutions, private businesses, People living with the diseases, Faith based organizations and Key affected Population2 CCMs have five basic functions: 3. 2. 1. HarmoniProposal Organization zation of GF develop& functioning funds with 1 ment http://www.theglobalfund.org/en/structures/?lang=en other of the CCM resources & its 2 http://www.theglobalfund.org/en/ccm/?lang=en Secretariat 4. Oversight of grants & Principal Recipients 5. Documentation & communication with constituencies & GF 13 Global Fund Project The principal responsibilities of the CCM are as follows: • • • • • • • • • Identify national priorities and gaps in programmatic, technical and geographic coverage and financial support Promote multi-sectoral participation Ensure the harmonisation of GF grants with other support for the three diseases Coordinate and ratify grant proposals Designate the Principal Recipients Ensure grant oversight and evaluate Phase 2 progress Resolve problems surpassing the authority and competence of Principal Recipients Submit Phase 2 and Rolling Continuation Channel requests Ensure transparency with stakeholders and the Global Fund 3.2. CCM Secretariat While not specifically required by the Global Fund, many countries have found it useful to establish a CCM Secretariat to assist the CCM in conducting its business. The Secretariat most often provides the necessary administrative, secretarial, communications, and logistics support to the CCM. Secretariats may also fulfill roles supporting working and technical groups or committees set up by the CCM. It is advisable that the role and the responsibilities of the CCM Secretariat be specified in the CCM operations manual. A CCM Secretariat may be one person or more. CCMs may request and receive up to 43,000$US in funding annually from GF to support their activities. It is however suggested that other international institutions and development partners assist in the financing of this sub structure. To be eligible for this funding, the CCM must have a comprehensive annual work plan and budget that covers all CCM activities, including those for which the 43,000$US funding is requested. The crucial role of a functional CCM secretariat in the performance of a CCM cannot be overstated. Case studies in this thematic area found that strong CCM secretariats make strong CCMs. Clearly defined and independent secretariats help CCMs fulfill their oversight responsibilities more effectively because of their enhanced ability to organize review materials and site visits. CCM secretariats operate better when they have “neutral” funding and office premises (i.e. not provided by CCM stakeholders), and when their terms of reference delineate them clearly from other CCM bodies. Strengthening CCM secretariats by providing, where possible, neutral and predictable multi-source funding as well as neutral locations are improvements that can significantly enhance overall CM performance.3 3.3. Local Fund Agent (LFA) The Local Fund Agent (LFA) is an integral part of the Global Fund’s architecture, acting in the stead of a Global Fund country presence. LFAs perform assessments of Principal Recipients before grant signing, assist in grant negotiations, monitor implementation by the Principal Recipients after grant signing, assist in grant closure and provide advice to the Global Fund as required. The relationship between the Global Fund and the LFAs is crucial 3 Lessons Learned in the Field Health Financing and Governance - A Report on the Country Coordinating Mechanism Model, The Global Fund, Geneva 2008, http://www.theglobalfund.org/documents/ccm/CCM_GlobalReport_2008_10_en.pdf 14 Global Fund Project to ensuring accountability and effectiveness of the Global Fund grants. Efficient and effective coordination between these bodies relies on good communication.4 Local Fund Agents play an important role in verifying the performance of grant-funded programs each time recipients report results. The Local Fund Agent works closely with the Global Fund and in particular with the relevant Fund Portfolio Manager, to provide the following services: a) Work performed before the Global Fund signs a grant agreement with the PR. This includes assessing the PR's capacity to implement the grant, reviewing proposed budgets and work plans and otherwise assisting the Global Fund in grant negotiations. b) Work performed during program implementation. The LFA is contracted to independently oversee program performance and the accountable use of funds (known as Verification of Implementation). This includes reviewing the PR's periodic requests for funds, undertaking site visits to verify results and reviewing the PR's annual audit report. c) Work performed with respect to the Phase 2 review. The LFA's review of a grant as it approaches Phase 2 (years three to five of the grant) is crucial in assisting the Global Fund to make its decision on whether to continue funding beyond the first two years. d) Work performed with respect to grant closure. When a grant ends, the LFA is involved in assisting the Global Fund with closure of the grant. e) Ad hoc assignments undertaken at the request of the Global Fund, such as investigations relating to the suspected misuse of funds. The LFA is an important part of the Global Fund's fiduciary arrangements. However, it is not an "agent" in the true sense of the word and is not empowered to represent the Global Fund's views or make decisions regarding grants. The Local Fund Agent is not permitted to undertake a number of activities with respect to any grants that it oversees. The LFA may not: • • • • • • participate in the design of the grant-funded program; participate in the implementation of the program; provide technical assistance to the Principal Recipient or sub-recipients; provide capacity building to the Principal Recipient or sub-recipients; make decisions on the grant (all decisions are made by the Global Fund); audit a Principal Recipient for which it is the Local Fund Agent.5 3.4. The Principal Recipient (PR) A major responsibility of CCMs is to “Select one or more appropriate organizations to act as the Principal Recipient(s) (PRs) for the Global Fund grant Refer to:” Clause 7 of the GF Guidelines on the Purpose, Structure and Composition of the Country Coordinating Mechanism. These organizations may be public or private, national or international. 4 Communications Protocol guiding the relationship between The Global Fund and its Local Fund Agents, Global Fund, Geneva, http://www.theglobalfund.org/documents/lfa/GF LFA_Communications_Protocol.pdf 5 http://www.theglobalfund.org/en/lfa/?lang=en 15 Global Fund Project The Principal Recipient is the entity with whom the grant agreement is signed, and is therefore legally responsible for the execution of the contract with the Global Fund. The responsibilities inherent in these grant agreements can generally be broken down into six major categories: Financial management Partnership Coordination Technical Procurement Coor- Management dination Oversight Technical Monitoring & Reporting Grant Implementation Monitoring & Reporting Clause 8 of the Fiduciary Arrangements for Grant Recipients sets out the role of the PR as being legally responsible for program results and accountability. That document notes (Clause 9) that PRs must ensure that effective arrangements are put in place for: • • • disbursement of funds to all implementing entities (sub-recipients); procurement and supply management; and Monitoring and evaluation, including periodic reporting on program results and financial accountability to the Global Fund and the CCM. The PR implements the program as described in the relevant Grant Agreement. The full responsibilities of PRs are set out in the Grant Agreement entered into between the GF and the PR. The agreement outlines the program details such as the goals, objectives, beneficiaries, strategies, planned activities,targets and the budget. These details are determined by the CCM working closely with all stakeholders during the proposal development stage, and are submitted to the GFATM for approval and funding. 3.4.1. Selection of PRs The process for selection of PRs is outlined in Clause 14 of the Fiduciary Arrangements for Grant Recipients . This notes that the GF assesses whether the organization nominated to be a PR through the CCM has the required minimum capacities which have been defined in the areas of: • • • • Financial and management systems; Institutional and programmatic arrangements; Procurement and supply management systems; Monitoring and evaluation systems. 3.5. Sub-Recipients (SR) 16 Global Fund Project Clause 8 of the Fiduciary Arrangements for Grant Recipients recognizes that a PR may use a number of implementing partners or Sub-Recipients (SRs) for program delivery. Sub-recipients often play a pivotal role in the implementation of program activities and the management of grant resources. As sub-contracted entities they are critical for the timely achievement of grant results. Given the often considerable number of sub-recipients under a Grant and the significant proportion of the Grant’s budget that sub-recipients are managing, it is vital that the PR has adequate capacities, resources and systems in place to select appropriate entities, support them in accessing capacity building, as necessary, and provide effective oversight over sub-recipient performance during grant implementation. 3.5.1. Assessment of PRs Sub-Recipient Management Capacity To assess the PRs capacity to manage Sub-Recipients, the LFA reviews the PR against the GF’s minimum capacity requirements to have: • • Effective systems to undertake SR capacity assessments and provide technical support, ensuring that proposed sub-recipients have the required capacities to implement program activities Adequate management arrangements to ensure adequate PR oversight of grant implementation at SR level, facilitating effective and timely program implementation and resource management. 3.5.2. Appointment of Sub-Recipients by the PR The Grant Agreement entered into between the GF and the PR generally provides the conditions for appointing Sub-Recipients, namely that the PR: • • • • Assesses the capacity of each Sub-recipient to implement Program activities, selecting each SR based on a positive assessment of that SR’s capacity to carry out the program activities assigned to it and in a transparent documented manner; Enters into a grant agreement with each SR creating obligations with the PR that are generally equivalent to those of the PR under this Agreement. This will facilitate the compliance of the Principal Recipient with the terms of the Grant Agreement; Makes a copy of each Sub-recipient grant agreement available to the Global Fund upon request Maintains and complies with a system to monitor the performance of SR and assure regular reporting from them in accordance with the Grant Agreement. The agreement between the PR and the SR referred above generally takes the form of a Memorandum of Understanding (MOU) setting out not only contractual obligations but also operational arrangements for communication, coordination, reporting and other issues of mutual interest. 3.6. Roles & Relationships in GF Grants 3.6.1. Roles of the PR, the GF Secretariat & the LFA The PR relationship with the GF Secretariat is governed by a grant agreement, where the PR assumes the programme management responsibility and financial accountability for the grant. Even though there is no contractual relationship between the CCM and the GF, the 17 Global Fund Project CCM is expected to play an oversight role during implementation, while the PRs are accountable for performance. In the grant agreement, the PR agrees to cooperate fully with the CCM. This states that: ‘The Principal Recipient shall be available to meet regularly with the CCM to discuss plans, share information and communicate on matters that relate to the Programme. The Principal Recipient shall provide to the CCM, upon request of the CCM, a copy of reports and material information relating to the Programme for information purposes. This may include, but is not limited to, Requests for Disbursements, items delivered to fulfil a condition precedent, implementation letters and any amendment to this Agreement.’ Also the PR must cooperate fully with the LFA in carrying it is functions such as conducting the assessment of the capacity of the Principal Recipient to implement the programme and manage grant funds; and verification of Principal Recipient’s progress towards the objectives of the programme, use of grant funds and compliance with the terms and conditions of grant agreement. To this end, the Principal Recipient shall ensure that Sub-recipients submit all reports, and themselves submit Performance Updates/Disbursement Requests and other communications required to the Global Fund through the LFA; permit the LFA to perform ad hoc site visits at the times decided by the LFA; permit the LFA to review programme books and records, cooperate with the LFA to identify additional training and capacity building that the Principal Recipient and Subrecipients may need to implement the programme. The LFA should give the PR advance notice of its intended activities, unless done on ad hoc basis. LFA shares its key findings with the PR and gives the PR an opportunity to comment on any discrepancies or inaccuracies in its findings. Unless explicitly instructed to do so by the Fund Portfolio Manager (FPM), the LFA should not make recommendations to the PR on grant related issues, nor instruct the PR to take certain grant related actions. Instead, the LFA should communicate all such recommendations to the FPM. The FPM will then communicate Global Fund decisions and any relevant recommendations to the PR, as well as to the LFA. The PR must maintain an open and continuous communication with the assigned Fund Portfolio manager in the GF secretariat. The communication can be in the form of e-mails and /or telephone conversations. The PR may request the FPM to conduct an in-country visit, if the circumstances require so e.g. if discussions involve the CCM, another PR, SRs and /or other country development partners. The FPM may communicate more formally with the PR in a form of a Management letter; this usually occurs following serious findings of an audit conducted as part of regular LFA reviews or specially mandated based on LFA recommendation. The more frequent the communication between the PR and the FPM the easier it will be for the GFS to provide support and guidance in grant implementation. 3.6.2. Roles from Proposal Approval to First Disbursement Following proposal approval several steps are taken by the GF secretariat before entering into an agreement with the PR(s). Confirmation of the PR nomination simply means that the GF ensures that the CCM has nominated one or more entities to be PR and that these entities meet the basic criteria for becoming a PR. The FPM usually informally checks with the CCM to determine if the CCM wants to change the PR from the entity nominated in the proposal. 18 Global Fund Project If the Global Fund has concerns about the appropriateness of the PR nominated in the proposal, the FPM will discuss the nomination with the CCM. In cases where the GF believes that the proposed PR may not have the capacity to absorb the additional work associated with the programme, the FPM may formally request that the CCM make another PR nomination. Once the nomination of a PR has been confirmed, the FPM should ensure that the PR and the CCM have all the appropriate and up-to-date guidance documents. Specifically, the FPM should ensure that the PR is familiar with the PR Assessment process and the Grant Agreement process. Moreover, if a nominated PR is not already a member of the CCM, it is expected to become so. The FPM informs the proposed PR of the selection of the LFA in writing and requests a letter from the PR agreeing that the PR will provide access to the LFA to carry out the assessment. The PR Assessment is to determine if the proposed PR’s existing systems and capacities correspond with the Global Fund’s minimum requirements to successfully implement a programme and manage grant funds. The PR Assessment is also used to identify critical capacity gaps that need to be addressed in the short or long term to enhance the efficiency and effectiveness of the implementation of the programme. The PR Assessment focuses on the proposed PR’s existing systems and capacities, together with the implementation arrangements that the PR has made for the programme funded by the Global Fund grant, in five functional areas where the Global Fund has defined minimum capacity requirements. These areas are as follows: • • • • • Financial Management Systems (FMS) Programme Management Capacity (PMC) Monitoring & Evaluation (M&E) Arrangements Sub-Recipient Management Pharmaceutical & Health Product Management (PHPM) A PR may outsource some of the functions necessary to implement the programme. For example, the procurement function may be outsourced if bottlenecks in this area are foreseen. If the Global Fund decides that the proposed PR (and its outsourced entities) have the minimum capacities and systems or could acquire them, the FPM confirms to the CCM that the PR is acceptable to the Fund and proceeds with Grant Agreement negotiations. If some of the capacity building measures will be undertaken or completed only after the signing of the Grant Agreement, these measures may be included as obligations in the Agreement in the form of so-called ‘Conditions Precedent’ (CP). If the Global Fund decides that the capacity strengthening required is excessive under the circumstances and that the proposed PR is therefore unacceptable, they communicate this decision to the PR and the CCM, and the CCM is asked to identify an alternative PR. The PR assessment process is repeated with the newly-nominated PR. It is important to note that the Board specifies that Grant Agreements must be signed within 12 months of approval. Otherwise the proposal is “lost” and the CCM must re-apply again. Once the PR Assessment Report is submitted to the Fund, the FPM reviews the report and discusses it with the LFA, CCM and the PR. If the GF decides that the proposed PR has the minimum capacities and systems or could acquire them, the FPM confirms to the CCM that the PR is acceptable to the Fund and proceeds with Grant Agreement negotiations. 19 Global Fund Project The PR can begin preparing the final Budget, Workplan and Performance Indicators as soon as the proposal is approved by the Board and the PR is confirmed. If the PR is not able on its own to complete the Budget, Workplan and Performance Indicators in a timely and satisfactory manner, the PR may be able to solicit the involvement of technical partners. The GF may be able to facilitate this process. Once the PR assessment is completed, and the Budget, Workplan and Performance Indicators are approved, the Global Fund and the PR enter into a Grant Agreement. The Grant Agreement specifies the outcomes that the PR intends to achieve in the first two years of the project. It sets out, among other things, the terms and conditions on which the funds will be made available (including how and when the funds will be disbursed), the procurement requirements that will be applicable, and the programme and financial reporting requirements that the PR must fulfill. There is a separate Grant Agreement for each approved component in a proposal. If there is more than one PR for a particular component, then there is a separate Grant Agreement for each PR. The FPM and other Global Fund officials oversee the drafting of the Grant agreement (the LFA will be involved as well) Negotiating the Grant Agreement is a step-by-step process involving the Global Fund, the LFA and the PR. The three parties should agree upon an anticipated programme start date, which should be rounded to the first of a month, and end dates for any CPs. Negotiating exemptions from duties, tariffs and taxes is typically a part of this step. The PR sends the LFA its first disbursement request, usually for the amount budgeted for the first disbursement period plus one additional quarter as a buffer. The LFA sends the disbursement request to the GF Secretariat along with a recommendation as to whether the request should be approved. The GF decides whether to approve the disbursement request. Once it is approved, the Fund’s Trustee will disburse the appropriate amount. The FPM sends a letter to the PR notifying the PR of the disbursement and requesting that the PR provide confirmation when the disbursement is received. 3.6.3. Roles during Phase I Grant Implementation Once the Grant Agreement has been signed, and the first disbursement has been made to the PR, the Global Fund makes subsequent disbursements of funds on the basis of periodic demonstrations of programmatic progress and financial accountability. This is a critical part of the Global Fund’s commitment to performance-based funding. The most important reporting requirement that the PR has to fulfill is the periodic filing of the Ongoing Progress Update/Disbursement Request (PU/DR). The PR is responsible for providing to the GF three closely linked items – information on programmatic progress, information on financial accounting, and requests for ongoing financing. These are provided in a single form, the ‘Progress Update/Disbursement Request’ (PU/DR) which must be submitted 45 days following the close of a reporting period. The PR must submit a PU/DR on a quarterly, semi-annual or annual basis. The frequency is specified in the grant agreement. In the PU/DR, the PR must provide a consolidated report of all progress and expenditures associated with GF financing for the project. This means that the PR is responsible for aggregating data from all SRs involved in project implementation. 20 Global Fund Project Once the PR has completed the PU/DR Form, it sends this to the LFA for review. The LFA is allocated five days to complete the LFA Ongoing Progress Review and Disbursement Recommendation section, (contained within the PU/DR) before forwarding to the GF Secretariat who then decide whether to allow the full requested disbursement of funds; allow a partial disbursement of funds; or deny the disbursement request. This process can take up to five days. Additionally, the grant agreement requires that the PR submit an annual financial and programmatic progress report within 90 days of the close of the PR’s fiscal year. The annual report should describe the overall progress towards project goals, and discuss challenges and successes. The GF regards the annual report as a key document for communicating performance and contextual data for the project. A grant performance report is prepared by the GF when the grant agreement is signed, and is updated by them throughout the life of the grant. This is intended to provide the Secretariat, PRs, partners and all other Global Fund stakeholders with a thorough and transparent summary of a grant throughout its lifetime. The report includes important grant information about the initial PR assessments, the grant agreement, implementation progress, intended results and results achieved to date, and is one of the key documents the GF consults during the Phase 2 Renewal decision process. 3.6.4. Role of the CCM The PR-CCM relationship is an important one. A large-scale programme is not likely to be successfully implemented if the PR and the CCM do not work together with a clear delineation of roles and responsibilities. The Global Fund’s guidelines state that while the PR has primary responsibility for programme implementation and M&E, and while the PR reports to the Global Fund in this capacity, the CCM is required to independently track, and report on, the implementation of programmes (including evaluating the performance of the PR) and to approve any major changes in implementation plans. The guidelines also state that the PR is required to keep the CCM continuously informed about progress in programme implementation, including providing the CCM with periodic narrative and financial progress reports. Despite this guidance, there remains considerable confusion about the relationship between the CCM and the PR. This sometimes leads to conflict between the two entities. Most conflicts between the CCM and the PR arise from confusion over the implementation responsibilities of the PR and the oversight responsibilities of the CCM – i.e., where one ends and the other begins. According to the Global Fund the envisaged role of the CCM is to: • • • • Coordinate the submission of one national proposal for funding, drawing on the strengths of various stakeholders to agree on strategy, identify financing gaps in achieving the strategy based on existing support, prioritize needs, and identify the comparative advantages of each proposed partner. Select one or more appropriate organisation(s) to act as the Principal Recipient(s) (PR) for the GF grant. Monitor the implementation of activities under GF programmes, including approving major changes in implementation plans as necessary. Evaluate the performance of these programmes, including of Principal Recipient(s) in implementing a programme. 21 Global Fund Project • • Submit a request for continued funding prior to the end of the two years of initially approved financing from the GF. Ensure linkages and consistency between GF assistance and other development and health assistance programmes in support of national priorities, such as Poverty Reduction Strategies or Sector Wide Approaches (SWAps). The Global Fund recently developed a CCM oversight guidance document which stated that providing oversight to proposal development, grant negotiation grant implementation and grant closure is considered an essential function of the CCM. CCMs are, in fact, required to have an oversight plan in place; and without this the CCM may be ineligible for funding. Oversight ensures that activities are implemented as planned by providing strategic direction to principal recipients, ensuring policies and procedures are met, instituting financial controls (including independent audits), and following through on key recommendations. The CCM and the PR have complementary roles. The CCM’s oversight role is different from the PR’s responsibility to monitor and evaluate the implementation of grants. Oversight requires the CCM to understand how the grants are working, follow progress and challenges, and make recommendations to the PR on improving performance. The CCM is responsible for understanding grant implementation at the macro level, but should not need to immerse itself in the micro details, which is the responsibility of the PR. Since oversight focuses on the macro level, CCMs should consider the following overarching questions: • • • • • • Finance: Where is the money? Is it arriving on time? Is it being distributed properly, and promptly? Who is benefiting? Procurement: Are the drugs, bed nets, laboratory supplies, etc. going where they need to go? Are implementers getting them on time? Is the distribution system safe and secure? Are patients receiving them? Implementation: Are activities on schedule? Are the right people getting the services they need? Results: Are targets being met? Reporting: Are reports being submitted accurately, completely and on time? Technical Assistance: Where are the grant implementation bottlenecks? (e.g. procurement, human resources, etc.) What technical assistance is needed to build capacity and resolve problems? What is the outcome of technical assistance? 3.6.5. Technical & Development Partners As a non-implementing entity, the GF (and by extension, the LFA) is not able to provide technical support or capacity building to recipients. Such support can be accessed by recipients from a variety of organisations which are working with the recipient countries and the GF. These include (but are not limited to) multilateral organisations such as the WHO or UNAIDS, bilateral organisations, international, national and local NGOs, private sector companies, academic institutions and people living with or affected by the diseases. CCMs are encouraged to include capacity building and TS needs in their workplans. PRs can seek more information through the CCM members about local TS suppliers and through the FPM about global mechanisms that partner with the GF. 22 Global Fund Project 3.7. Communication and Coordination Good communication is essential to achieving the Global Fund goals accountable and effective execution of their grants. Good governance and transparency are key to achieving good communication. Communication is one of the five key functions of the CCM, and permeates all relationships within the Global Fund structure, from the communities affected by the three diseases all the way up to the Global Fund secretariat. Since the Global Fund always emphasizes country ownership in the design and implementation of grants, it tries to maintain a balance of providing direction yet not dictating specific processes countries should use to communicate. Therefore, there are no specified requirements on communication processes, but the Global Fund has provided some minimal protocols and guidelines for communication.6 3.7.1. Reporting and Communication between the Global Fund, CCM, PR and LFA The information needs of each actor depend on their specified roles. To ensure effective grant oversight, the CCM needs regular information from the PRs on the progress of grant implementation and any issues that arise during implementation. In order to provide independent verification of program progress and financial accountability,7 LFAs need information on grant performance, the health sector in general and other country-specific information affecting grant performance. LFAs need to communicate on a regular basis with PRs, the CCM and other in-country stakeholders. Each actor has certain responsibilities to provide information. As implementers of Global Fund grants, PRs channel their progress reports and disbursement requests (generally referred to as “progress updates and disbursement requests” (PUDRs) to the Global Fund through the LFA. PRs must also keep the CCM informed by providing the CCM with periodic narrative and financial progress reports. PRs need to communicate with SRs on grantrelated issues, collect data and information to include in their PUDRs and provide technical support. The LFA should keep the CCM apprised of progress in general and share any significant concerns regarding grant implementation so that the CCM can perform its oversight function and provide technical support for improved implementation. In the interest of transparency and accuracy of information, LFAs should also debrief the PRs on the key findings before they are submitted to the Global Fund. Global Fund grants to recipient countries are based on the concept of performance based funding. Funds are forthcoming only if grants perform according to stated objectives. Fluid communication between the PR and the Global Fund is necessary to this process. Reporting to the Global Fund from the PR on financials and programmatic objectives are based on the reporting requirements specified in each grant agreement which are often quarterly or by semester. The LFA advises the Global Fund secretariat on whether to disburse further funds to the PR(s), based on reports they have received. The CCM is responsible for the oversight of Global Fund grants. This means that the CCM members must have access to reports on budgets and targets in a timely manner. PRs must provide the relevant information to the CCMs to allow them to complete this function. This necessarily means that the PR is receiving the necessary, validated information from its 6 Country Coordinating Mechanism Principal Recipient-Local Fund Agent Communications, The Global Fund Implementer Series, The Global Fund, Geneva 2008 http://www.theglobalfund.org/documents/ccm/CCMThematicReport07-Communications.pdf 7 Fiduciary Arrangements for Grant Recipients, Global Fund, www.theglobalfund.org/documents/board/05/ gfb513.pdf 23 Global Fund Project SRs. In some cases, especially in countries where there are multiple grants, Dashboards have be developed to synthesize data coming from PRs, presenting large amounts of information in several synthetic slides, facilitating this part of CCM oversight. Often CCMs will create Oversight Committees to facilitate the process or the CCM secretariat will input PR data into the dashboard system for periodic presentation to CCM members. Communications between the Global Fund, LFAs and PRs are based on the principles of mutual responsibility and respect. Communication is the joint responsibility all parties and regular communication is essential. Early communication of planned activities or changes in priorities is essential. Frank, open and respectful communication between the counterparts in the relationship is to be encouraged. 8 The CCM-PR-LFA communication9 case studies highlight the importance of the LFA role and the extent to which it is often misunderstood by CCMs and other stakeholders. Case study findings also suggest that working relations between the three entities would be significantly improved by the consistent application of the in-country Communications Protocol for LFAs. In addition, LFAs should bring greater programmatic expertise so that they can more readily address their role in the Global Fund architecture, and they should routinely accept invitations to sit in on CCM meetings with observer status as a way of offering valuable opportunities to clarify their role to CCM members.10 3.7.2. Reporting and Communication between PRs and SRs Figure 2: Reporting and Communication Flow between PRs & SRs 8 Communications Protocol guiding the relationship between The Global Fund and its Local Fund Agents, Global Fund, Geneva, http://www.theglobalfund.org/documents/lfa/GF LFA_Communications_Protocol.pdf 9 Country Coordinating Mechanism Model CCM-PR-LFA Communications The Global Fund Implementer Series, The Global Fund, Geneva, 2008. http://www.theglobalfund.org/documents/ccm/CCMOnePageBrief_CCM_LFA_PR_Communication_2008_10_en. pdf 10 Lessons Learned in the Field Health Financing and Governance - A Report on the Country Coordinating Mechanism Model, The Global Fund, Geneva 2008, http://www.theglobalfund.org/documents/ccm/CCM_GlobalReport_2008_10_en.pdf 24 Global Fund Project Recommendations from the recent Global Fund study on CCM communications include: • • • • • CCMs and PRs should familiarize themselves with Communications Protocol for LFAs. LFAs need to strengthen their technical program skills in the fields of public health and social development. LFAs should participate as observers in CCM meetings, encouraging information exchange while maintaining their independence LFAs should discuss key findings with the PRs before sending reports to the Global Fund Secretariat Encourage joint CCM-PR-LFA participation in Fund Portfolio Manager country missions, and formal monthly feedback meetings between the PR and the LFA.11 3.7.3. Coordination / Harmonization The Global Fund advocates complementing national programs for the three diseases and using the new funds to strengthen existing programs and planned activities. Global Fund grants are executed within existing programs and funding for the three diseases is additional and complementary to existing resources. In some cases this might be within a Sector Wide Approach as in Mozambique. In other countries such as Honduras, Global Fund proposals are broadly consistent with national strategic and program plans for the three diseases, and, therefore, aligned with national objectives. 11 Country Coordinating Mechanism Model CCM-PR-LFA Communications The Global Fund Implementer Series, The Global Fund, Geneva, 2008. http://www.theglobalfund.org/documents/ccm/CCMOnePageBrief_CCM_LFA_PR_Communication_2008_10_en. pdf 25 Global Fund Project CCM membership should include key stakeholders relevant to HIV/AIDS, tuberculosis (TB), and malaria, including government agencies, international agencies, bilateral donors and NGOs, providing opportunities for harmonization and integration. Recommendations from the Global Fund evaluation of CCM harmonization and alignment include: • • • Establish guidelines and plans to harmonize further between multiple Global Fund grants and within country planning cycles. Train and sensitize CCM members to identify and proactively support further efforts at harmonization and alignment. Establish more lessons learned and clearer guidelines for managing SWAps and common financing mechanisms12. 12 Country Coordinating Mechanism Model Harmonization and alignment, The Global Fund Implementer Series, Global fund, Geneva http://www.theglobalfund.org/documents/ccm/CCMOnePageBrief_HarmonizationAndAlignment_2008_10_en.p df 26 Global Fund Project Chapter 4: Programme Implementation 4.1. Programme Responsibility The responsibility for executing the implementation of the grants lies with the Principal Recipient (PR) that signed the grant with the Global Fund the PR partners with SRs and SSRs (if applicable), providing them with funding and/or in kind support to implement some of the programme activities, subject to the SRs/SSRs fulfilling the requirements outlined in the MOU or Sub-Agreement. 4.2. Programme Description The PR shall implement the programme as described in Annex A (Programme Implementation Description) of the Grant Agreement. The various annexes outline the programme details such as the goals, objectives, beneficiaries, strategies, planned activities, targets and the budget. (These details were originally determined by the CCM working closely with all stakeholders during the proposal development stage, submitted to the GFATM for approval and funding and finalised during the pre-signature phase). 4.3. Annual Work Plans and Budgets Global Fund requires detailed annual plans and budgets from each grant partner and for the total grant. To operationalise the programme grant, each PR, SR and SSR prepares annual work plans and budgets. In general, the PR shall lead annual planning, and will issue instructions or hold work sessions to facilitate planning. The PR or SR shall consolidate the SSR work plans and budgets with its own into an annual consolidated work plan and budget with summary tables and present it to the CCM for approval. The consolidated annual plan and budget will then be transmitted to the LFA and Global Fund for review. The annual work plans shall be informed by and conform to the grant programme. The PR/SR shall release funds to the SR/ SSRs on the basis of the annual work plans. Annual performance shall be assessed against the targets set out in the annual work plans. 4.4. Programme Phases As outlined in Clause 1 of the Guidelines for Performance-Based Funding, the “Global Fund makes funding decisions based on performance to ensure that investments are made where impact in alleviating the burden of HIV/AIDS, tuberculosis and malaria can be achieved. For this purpose, the Global Fund initially approves grant proposals for two years and decides on continued funding based on performance. During the grant period, the Global Fund links disbursements of tranches of the grant to periodic demonstrations of programmatic progress and financial accountability.” The Guidelines document outlines the rationale for this system design. 4.4.1. Phase 1 27 Global Fund Project Grant proposals are approved for a term of up to 5 years. However the Global Fund initially commits funds only for the first 2 years, commonly known as Phase 1. Normally the start and end dates for Phase 1 shall be dictated by the date on which the PR receives the first disbursement of grant funds from the GF. 4.4.2. Phase 2 The continuation of funding beyond Phase 1; that is funding after the first two years, is subject to satisfactory performance. The process and timelines for phase 2 renewal are summarized in the following table. Table 1: Phase 2 Process Timeline End of month 18 Month 21: 2nd week Month 22: 2nd week Month 24: first day Month 24: 2nd week Months 24-26 After the Grant Agreement is signed Process The Global Fund sends to the CCM an invitation to submit a CCM Request for Continued Funding. The CCM sends its Request for Continued Funding and all supporting documents to the LFA. The LFA sends its Phase 2 Request Assessment Report to the Global Fund. The Global Fund Secretariat prepares a recommendation on continued funding for the Board. The Global Fund Board makes a decision on continued funding. The Global Fund and the PR negotiate an extension to the Grant Agreement for Phase 2. First disbursement under the Phase 2 Grant Agreement. Because the Phase 2 Renewal Process can take long, the PR and CCM are advised to request for a 3-month no-cost extension for phase 1 grant, which could be granted by the Global Fund. The request for a no-cost extension should not be included in the Request for Continued Funding. For practical purposes, the CCM can establish a small Phase 2 Renewal committee or task force; the renewal committee shall include the disease component managers. It is imperative to have representatives of the PR(s) sit on this committee. The committee shall be tasked with preparing a draft of the Request for Continued Funding, which shall be discussed and approved by the full CCM. The CCM’s request to the Global Fund for Phase 2 funding shall include the following: 1) CCM assessment of programme performance • A self assessment based on Phase 1 progress • Response to Global Fund feedback on Phase 1 to date 2) Complementary contextual information • A package of supplementary information 3) Years 3-5 budget, objectives, and intended results • Years 3-5 budget • Objectives and intended results • Explanation of any deviations from programme objectives The Global Fund shall consider the following information when making a decision: 28 Global Fund Project 1) 2) 3) 4) 5) Major changes in the programme supporting environment Significant adverse external influences (force major) Systemic weaknesses Financial accounting and programme management issues Information suggesting that the grant is not applying the Global Fund’s operating principles to: Promote broad and inclusive partnerships; Promote sustainability and national ownership; Provide additional resources; and Use the best available technical approaches. The grant performance rating given by the Global Fund is a key component of renewal decision. The performance rating, which ranges from a grade of A1 to a grade of C, is based on the degree to which results were achieved against targets (see Table 4.2). Table 2: Global Fund Performance Rating System Grant performance rating A1 Exceed expectation A2 B1 B2 Meets expectations Adequate Inadequate but Unacceptable potential demonstrated C The Phase 2 decision shall be based on a performance rating, coupled with contextual considerations, and shall result in one of the outcomes shown in Table 4.3 below. Table 3: Global Fund Performance Rating System and Outcomes Decision category Performance Rating Conditions Contextual considerations Outcome 1: “Go” A1, A2 And No or minor contextual issues Grant committed for Phase 2 2: “Conditional go” B1 and/ or Major contextual issues that can be addressed by the PR/CCM 3: “Revised go” B2 and/ or Major recent improvements in Reprogramming subject to programme supporting Global Fund review environment 4: “No go” C Or Critical contextual risks beyond PR and/or CCM control Grant committed conditional upon timebound actions Grant not committed for Phase 2 The information in Tables 4.2 and 4.3 on performance rating can be accessed from the GFATM website; http://www.theglobalfund.org/en/. The total possible funding amount for Phase 2 of a grant shall be equal to the total approved proposal budget for 5 years, less the amount disbursed at the end of the Phase 1. 29 Global Fund Project 4.4.3. LFA Review of Phase 2 Budget An important part of the process is the review undertaken by the LFA to assist the Global Fund’s consideration. Part of this process involves the LFA reviewing the Phase 2 budget submitted by the CCM, which entails the following steps: 1) Review, and if necessary, adjust expected additional Phase 1 disbursements proposed by the CCM; 2) Determine whether the CCM Phase 2 budget request is within the Phase 2 Upper Limit; 3) Review the rationality of the Phase 2 budget proposed by the CCM; 4) Recommend a reasonable Phase 2 amount and determine the incremental Phase 2 funding amount. The document Guidance for the LFA Review of Phase 2 Budgets and the LFA Phase 2 Assessment Report may be reviewed for further information on the LFA review. The CCM is required to attach the following documents to the RFC before submitting to Global Fund: • • • • • • • • • • • • Minutes of the CCM meetings relating to discussions on the CCM Request for Continued Funding; A detailed budget and work plan for Year 3; An indicative budget and work plan for Years 4 and 5, if the programme extends to a fourth or fifth year; A revised Performance Framework for phase 2 (attachment 3 and 4); A procurement plan for phase II with list of health products to be procured in Year 3 with detailed budget assumptions; The latest PUDR containing a progress update on all agreed-upon indicators (if not previously submitted); A copy of the Annual Report (if not previously submitted); A copy of the latest annual audit report (if due and not previously submitted); A copy of the latest health information system report (if any); A revised programme implementation strategy (if applicable); and End of year 1 review (if not previously submitted) Enhanced Financial Reporting The CCM Request for Continued Funding may also include in annexes any independent evaluations performed on the project, other relevant documentation, any success stories, studies and research, as appropriate The documents Phase 2 Decision-Making Policies and Procedures and Phase 2 and the Global Fund’s Grant Renewal Process outline the process undertaken for continuing funding. 4.5. Reprogramming If reprogramming of Global Fund grants is required, a request shall be made to the Global Fund for approval. Programming may be needed for one of the following reasons 1) Cost of major purchases rise or fall (such as drug procurement), 2) Changes in the role of SRs or if new SRs are added, 30 Global Fund Project 3) Some activities are no longer needed because another programme has already done them. If the programme falls behind in its work. 4) Savings have been generated, or because costs were higher than expected (so other costs shall need to be cut). 5) Changes occurred in national strategy and funds can no longer be used as per original strategies and plans. In the event it is necessary to reallocate funds within budget lines of the total grant budget or among the implementers, the CCM must give the necessary approval, provided such realignments do not lead to a decrease in key performance indicators or in the quantities of drugs/commodities initially budgeted. It should be noted that budget reallocations between line items above 10% of the total grant must be approved by the CCM (or its delegated Executive Committee/Group). These shall be submitted to the LFA and Global Fund for approval by the PR before implementation. A specific process applies where changes materially alter the scope of original proposal. A change in scope arises when PR or CCM wants to: • • • Add a strategy or objective Drop a strategy or objective Materially alter the balance between two or more strategies or objectives The conditions under which such a modification shall be made include: • • • • • • The CCM must approve the change The LFA reviews and makes recommendation. Programming is reviewed to determine whether the requested change affects the terms in the Grant Agreement (budgets or targets). If there is a change, the programming requires an amendment to the Grant Agreement, which shall be accomplished through an implementation letter from Global Fund A request for significant programming shall also be reviewed legally to determine whether it implicates the original approval of the CCM or the Technical Review Panel (TRP). An example would be where the PR requests a significant change in the interventions contemplated in the original proposal, such as a significant shift in the design of programme that raises certain technical issues, such as a change in treatment regimens. When these shifts are significant and affect the underlying basis on which the proposal was originally approved, the Global Fund shall determine whether re-clearance through either of these mechanisms is necessary. Therefore, GFATM shall make decision after consulting the Technical Review Panel. Where the budget programming does not materially alter the scope of the original proposal, but does exceed 10% of one or more budget lines, the PR is required to prepare a budget programming request which should detail, among other things: • • • • The reason for the proposed programming The budget lines affected and the amounts proposed for programming Whether this shall require revisions of the agreed upon indicator targets (lowering the indicator targets is normally not desirable) The positive improvements to the programme that shall result from the programming 31 Global Fund Project • • The relevant experience of the new implementing agency if the funds are to be shifted to a new entity Any other relevant information justifying the programming Following review, the CCM (or its delegated Committees/Groups) shall approve if appropriate and submit to the LFA. The LFA shall review the reprogramming request and make a report including recommendations to the GF Fund Portfolio Manager (FPM). The FPM shall communicate with the CCM on the approval, or otherwise, of the reprogramming request. This shall not involve seeking the concurrence of the TRP since there is no material change in the scope of the grant If additional funds are required, the CCM must apply in writing to the GF giving the details of the changes required, and justification for them. However, this is unusual and not likely to be necessary. Funds may be transferred through reprogramming: • • • • Between cost categories of the budget except that drug procurement funds may not be touched (you can add to them though) Between objectives (as long as you reach the targets) Between sub recipients Between PRs of a multi-PR grant (with modification of objectives) In view of the wide range of circumstances in which reprogramming may be sought, PRs are encouraged to liaise closely with the CCM and LFAs regarding the necessary approval process. In all cases, PRs should not undertake changes themselves and simply inform the CCM. An attempt by PRs to reprogram grants without informing the CCM undermines the mandate of the CCM. 4.6. Technical Harmonization There are likely to be several other initiatives supporting the country’s efforts to address AIDS, Tuberculosis, and Malaria occurring concurrently with programmes funding by the Global Fund. The CCM shall ensure that there are linkages between these initiatives and Global Fund programmes to avoid duplicating efforts and resources. PRs, SRs, and SSRs must share information with other programmes and implementers. PRs and SRs shall be encouraged to participate in or guide harmonization of Global Fund and other work. This will provide a basis to understand existing gaps (programmatic and financial) in the three national programs. 4.7. Programmatic Reporting 4.7.1. Global Fund Reporting Requirements The GFATM requires the PR to submit periodic and annual progress reports on both the programmatic and financial performance of the grant and at the same time make a disbursement request. The GF has provided a template for periodic reporting; the OnGoing Progress Update and Disbursement Request (PUDR). Although the GF has not developed a reporting template for the annual progress report the PR together with the disease components shall design and guide the preparation of the annual progress reports. 32 Global Fund Project 4.7.2. Progress Update and Disbursement Request (PUDR) Under the grant, The Global Fund requires periodic Progress Update and Disbursement Request (PUDR) Reports. The progress update is measured against annual milestones which are developed by the PR/SRs at the start of each year, formally approved by the Global Fund and provided to the SSRs/IPs. Section 1A of the PUDR provides for reporting on programmatic indicator targets and should capture planned targets, actual achievements and reasons for deviations. This section is to be completed by the SSRs, SRs and aggregated by the PR. The roles of the stakeholders in the elaboration of the PUDR is further explained in Chapter 7 Financial Management. The responsibility for preparing and ensuring that the PUDR is submitted to the Global Fund in time lies with the PR. The PR forwards its Disbursement Requests and Progress Updates to the Global Fund through the LFA who reviews and validates the report, and then advises the Global Fund on the next disbursement. The PR provides a copy of the report to other members of the CCM who may comment on the progress of implementation to the LFA or directly to the Global Fund Secretariat. Clauses 23-26 of the Guidelines for Performance-Based Funding outline more fully the roles and responsibilities with respect to the PUDR. Guidance Note on Ongoing Progress Update Disbursement Requests and LFA guidelines for completing the “LFA On-going Progress Review and Disbursement Recommendation” provide an outlines of the key issues reviewed by the LFA once the PR has submitted the PUDR. Clauses 27-30 of the Guidelines for Performance-Based Funding outlines the timing requirements expected of a PR for submission of their Disbursement Requests and Progress Updates. Usually reports are required on a quarterly basis for the first year, although subsequently as deemed appropriate on the basis of negotiations between a PR and the Global Fund. Submission of the report is required within 45 days of the end of the relevant reporting period. 4.7.3. Annual progress Report The Grant Agreement requires that the PR submit annually a fiscal-year programmatic progress report; this report is known as the “Annual Report.” The Annual Report should describe the overall progress towards project goals, and discuss challenges and successes. This information is not fully covered by other regular reporting requirements. The Global Fund regards the Annual Report as a key document for communicating performance and contextual data for the project. The Annual Report is due within 90 days of the close of the PR’s fiscal year. When the Grant Starting Date and the end of the PR’s fiscal year is six months or less, the Global Fund do not require the PR to produce an Annual Report for the initial period. In this case, the first annual report shall coincide with the end of the second fiscal year-end and shall cover a period of up to 18 months from the commencement of the project. The Global Fund does not prescribe a set format for the Annual Report; nor has it developed any guidelines on how the report should be filled out The Annual Report should comprise: • PUDR that contains a full aggregated programmatic results for the year and a summary of project revenues and expenditures for the fiscal year 33 Global Fund Project • The following contextual information on the grant: o key partnerships in reaching goals (i.e., relative programmatic contributions from partners); o success stories, lessons learned and challenges of the grant; o progress towards impact on the three diseases; o quality of services provided, perspectives of recipients, accreditation; o additional relevant data from the M&E system or plan o any independent assessments or quality reviews of the project. o future plans to build the programme towards longer-term (five-year) goals. 4.8. Rolling Continuation Channel (RCC) In 2006, the Global Fund Board approved a policy (Global Fund/B14/DP7) whereby high performing grants could be extended beyond their initial term for a maximum of another six years. The policy was subsequently modified at the November 2007 Board meeting, Decision Point Global Fund/B16/DP8. The primary qualification criteria are: • • • Strong Performance, i.e. an “A” Rating in 50% of periodic reviews over 18 months Evidence of impact the grant has made Sustainability of the activities under the grant. The RCC Application Process and Frequently Asked Questions on the Rolling Continuation Channel provide general information on this channel Sample Guidelines for RCC Proposals and Sample Proposal Form for Funding assist applicants to consider this funding channel. 4.9. Grant Close-Out Global Fund has not yet posted formal instructions for grant close-out on its website. The following steps were presented by the Global Fund at a regional meeting in 2006 and give an indication of what the procedures may be. Grant closure shall occur in three distinct stages. Each stage is comprised of a series of decisions that are made and activities which are carried out leading to specific outputs. During stage one, the following decisions and activities shall be executed, resulting in the Key Decisions: • • • • CCM Secretariat decides on eligibility of programme to apply for continued funding under existing policies or initiate grant closeout procedures. CCM decides whether to apply for continued funding under existing policies or to initiate grant close-out procedures. Activities: The PR and CCM prepares, approve and finalize Close-Out Plan • The PR prepares last disbursement request, including costs associated with close-out activities. • The LFA reviews Close-Out Plan and last disbursement request to ensure appropriateness of expenses up to and after programme ending date. • The CCM Secretariat approves Close-Out Plan and last disbursement request. Output: Close-Out Plan and last disbursement request. Deadline: No later than one quarter prior to the programme ending date. • indicated outputs: 34 Global Fund Project During stage two, no specific decisions are made; however, the following activities are executed, resulting in the indicated outputs: • • • • • • Activities: The PR implements Close-Out Plan, prepares last Progress Update, and completes and submits the final audited financial statement and final programmatic report. The LFA reviews last Progress Update (Q1+45 days after programme ending date) The PR returns unspent cash assets to the Global Fund. Output: Final Reports are completed: Audited Financial Report, Programmatic Report. Deadline: No later than six months after programme ending date During stage three, one key decision is made, and the following activities are executed, resulting in the indicated outputs: Key Decisions: • The CCM Secretariat decides on level of fulfillment of grant close-out activities and declares the grant inactive. Activities: • • • • • • The LFA reviews and advises on the final audited financial statement and final programmatic report. The CCM Secretariat reviews the final audited financial statement and final programmatic report. The PR, where applicable, responds to issues raised by the CCM Secretariat. The CCM Secretariat declares the grant inactive Output: Implementation letter declaring the grant “inactive”. Deadline: No later than nine months programme ending date. 35 Global Fund Project Chapter 5: Management of Sub-Recipients 5.1. Global Fund Guidelines The Principal Recipient (PR) may often require the involvement of other entities to implement the program; these partners are called Sub-Recipients (SRs). SRs can be public sector or non-government entities – the last category includes NGOs, FBOs, CBOs or private sector entities. Vendors to whom contracts are issued for procurement and supply related services are not considered SRs. Figure 3: Global Fund Project Management & Implementation Structure The Global Fund (GF) provides limited guidance on SRs, but it does address the need to assess the PR’s capacity to select and manage SRs. In addition, the GF, through the PR’s Grant Agreement, addresses which terms and conditions the PR must include in the SubGrant Agreement. One of the articles of the PR’s Grant Agreement also covers SubRecipients: “Article 1413. SUB-RECIPIENTS From time to time, the Principal Recipient may, under this Agreement, provide Grant funds to other entities to carry out Program activities, provided that the Principal Recipient: a) assesses the capacity of each Sub-recipient to implement Program activities and report thereon, makes such assessments available to the Global Fund upon request, and selects each Sub-recipient based on a positive assessment of that Sub-recipient’s capacity to carry out the Program activities that are being assigned to it and in a transparent documented manner; 13 Article 14 in the Standard Form Grant Agreement 36 Global Fund Project b) c) d) enters into a Grant Agreement with each Sub-recipient creating obligations of the Subrecipient to the Principal Recipient that are generally equivalent to those of the Principal Recipient under this Agreement, and which are designed to facilitate the compliance of the Principal Recipient with the terms of this Agreement; makes a copy of each Sub-recipient Grant Agreement available to the Global Fund upon request; and maintains and complies with a system to monitor the performance of Sub-Recipients and assure regular reporting from them in accordance with this Agreement.” Each of the above points is covered in this section of the manual. 5.2. Selection of Sub-Recipient The Global Fund stresses transparency for the selection of sub-recipients. approaches to Sub-Recipient selection include: • • • Some Calls for expressions of interest/sub-proposals prior to grant proposal submission Calls for expressions of interest/sub-proposals following approval of the grant proposal or grant award Restricted calls for sub-proposals following approval of the grant proposal or grant award The first approach is the preferred one as proposed Sub-Recipient involvement in grant implementation is taken into consideration during the proposal review process, including the amount of time it will take to select SRs if they have not been identified in the grant proposal. If Sub-Recipients were not identified in the proposal, the CCM should indicate how selection will be made after the proposal is approved. Whichever approach is used, the process needs to be fully documented. Criteria for the selection of sub-recipients might include: technical strength, local organization, access to impact areas/targeted populations, reliable financial management system, reliable reporting system, and quality resources available (including human resources). In accordance with the principle of transparency, those entities who have applied but not been selected should be so informed and, if possible, given the reasons why they were not selected. The PR may consider providing technical assistance to certain entities that were not selected but are strong candidates for being included in proposals for future rounds if their capacity is built. 5.3. LFA Pre-Assessment Given that SRs often manage the majority of the grant implementation activities and are key for achieving the grant objectives, it is vital that the PR has adequate capacities, resources and systems in place to manage the SRs and ensure that they can access capacity building as needed. The LFA is required to undertake an assessment of the PR’s ability to manage SRs using the Sub-Recipient Management Assessment Tool (14). The LFA must assess whether the PR meets the Global Fund’s minimum capacity requirements in the following areas: • 14 Effective systems for undertaking sub-recipient capacity assessments and providing technical support as needed, to ensure that any proposed subrecipients have the required capacities to implement the program activities http://www.theglobalfund.org/documents/lfa/BeforeGrantImplementation/Sub-recipient_Management_Assessment_Tool.pdf 37 Global Fund Project • Adequate management arrangements that ensure adequate PR monitoring of grant implementation at sub-recipient level facilitating effective and timely program implementation and resource management by sub-recipients. The Sub-Recipient Management Tool is divided into three sections: • Sub-Recipient Selection, • Sub-Recipient Capacity Assessment, and • Sub-Recipient Management and Oversight. The LFA uses the findings of the Sub-Recipient Management Tool to complete Section IV of the PR Assessment Report before the grant is awarded. The Grant Agreement specifies that it is the responsibility of the PR to ensure that proposed SRs have the minimum capacity to successfully implement their part of the grant program as part of the selection process: “[The PR] assesses the capacity of each Sub-recipient to implement Program activities and report thereon, makes such assessments available to the Global Fund upon request, and selects each Sub-recipient based on a positive assessment of that Sub-recipient’s capacity to carry out the Program activities that are being assigned to it and in a transparent documented manner;”15 As part of the process, the PR can choose to have the SR do a self-assessment to identify strengths, weaknesses, and proposed actions for correcting identified weaknesses. The PR Assessment Tool16 used by the LFA to assess the PR can be adapted for SR assessments – it is broken into four functional areas: 1) 2) 3) 4) Financial Management Systems Institutional and Programmatic Arrangements Procurement and Supply Management Systems Monitoring and Evaluation Arrangements If the assessment results show that the SR has weaknesses that need to be corrected and the PR decides to proceed with the selection of that SR, a plan for correcting the weaknesses needs to be drafted and agreed upon with the SR, including technical assistance as needed. 5.4. Sub-Grant Agreements The GF does not provide a template for the Sub-Grant Agreements. The Sub-Grant Agreement is a document signed by representatives of the PR and SR who are authorized to bind their respective organizations, which states the relationship between the parties and the terms and conditions of that relationship. In some cases it is not a legal document and is called a Memorandum of Understanding – it is recommended that the relationship be formalized to the maximum extent possible and a Sub-Grant Agreement used. A Memorandum of Understanding might also be used to communicate the support to the grant program agreed upon from other initiatives who do not receive funding under the grant agreement. 15 Article 14 of the Standard Form Grant Agreement New Principal Recipient Assessment Report http://www.theglobalfund.org/documents/lfa/BeforeGrantImplementationPR_Assessment_Report.pdf 16 38 Global Fund Project The PR’s Grant Agreement17 indicates which provisions must be included in the Sub-Grant Agreement and states that the PR: • • “enters into a Grant Agreement with each Sub-recipient creating obligations of the Subrecipient to the Principal Recipient that are generally equivalent to those of the Principal Recipient under this Agreement, and which are designed to facilitate the compliance of the Principal Recipient with the terms of this Agreement; makes a copy of each Sub-recipient Grant Agreement available to the Global Fund upon request;”18 The document should be written in clear language and must at a minimum include the required terms and conditions that the PR’s Grant Agreement specifies must be applied to the SR as well as the PR. The following provides a sample list of elements that might be included in a Sub-Grant Agreement: i) Contracting parties (PR & SR; SR & SSR). • Sub-Grant Agreement Number • Start and End Dates • Sub-Grant Amount (specifying currency) • Bank Account Information for Sub-Grant Fund Disbursement • Sub-Recipient’s Fiscal Year • Local Fund Agent Information • Principal Recipient and Sub-Recipient Authorized Representatives • Introduction and purpose • Broad responsibilities of PR • Broad responsibilities of SR • Termination process and required notice • Force Majeure • Termination or suspension of agreement due to failure of conditions precedent or special conditions • Limitations of PR liabilities and indemnification • Governing language for communication • Applicable law of agreement • Compliance with laws • Dispute resolution process • Maintenance of required licenses and legal existence of SR • SR free from claims inhibiting capacity to fulfill program • SR not double funding activities • Duty of parties to communicate • No discrimination in implementation • Bank account • Interest on account • Social marketing revenue • Appointment of auditors • Submission of SR audit reports to PR • Audits of SSRs and submission of such to PR • Accounting records – standard and retention • List of medicines to be procured 17 See Standard Form Grant Agreement http://www.theglobalfund.org/documents/lfa/BeforeGrantImplementation/Standard_Form_Grant_Agreement.pdf 18 Article 14 of the Standard Form Grant Agreement 39 Global Fund Project • • • • • • • • • • • • • • • Insurance where reasonable Responsibility for Loss or Theft Procurement practice Taxes and duties Conflicts of interest & anti-corruption and disclosure of any possible conflicts Use of GF or PR logo Quarterly (& other) report submission and access to report format advice Budget and Costs for activities Quarterly disbursement of funds by PR to SR Refunds by SR to PR of disbursed funds Compliance with workplan Sub-Sub Grant Agreements between SRs and SSRs Assessment by SR of SSR capacity Special audits or investigations of SR as required by PR, including right of access Approved Work Plans & Detailed Budgets A key step in developing the Sub-Grant Agreement is finalizing the Budget, Workplan and Performance Indicators and Targets. These need to be closely tied to the PR’s budget, workplan, and performance indicators and targets. The PR may choose to include Conditions Precedent and Special Terms and Conditions to a particular Sub-Grant Agreement to address weaknesses or special circumstances. The SubGrant Agreement should be periodically reviewed to identify if there are elements that need to be modified. 5.5. Monitoring and Reporting The PR’s Grant Agreement requires that it: “maintains and complies with a system to monitor the performance of Sub-Recipients and assure regular reporting from them in accordance with this Agreement.”19 A key to successful management of SRs is to ensure on-going communication channels are in place in order to have early identification of potential problems. Communication channels for each component of the relationship between PR and the relevant SR should be identified, defining which position in each organization should be the contact point for each type of issue, what type of communication should be used, and provide relevant addresses, telephone and email addresses. Alternate contact individuals should also be given in case the primary contact officer is absent at the time. The Sub-Grant Agreement puts in writing the requirements of each of the parties, but the PR should ensure the SRs understand what is expected of them. The PR should consider incorporating the following elements into its SR management plan: • • • • • • 19 Review approved proposal with the SR prior to award Capacity assessment: determine capacity building required and level of PR involvement needed Provide capacity building/training Additional monitoring and management of weaker SRs Develop guidelines for the SRs Start-up Meeting with all the SRs From the Standard Form Grant Agreement 40 Global Fund Project • • • • • • • • Quarterly meetings and semi-annual meetings with all the SRs with a well-defined agenda Quarterly office and field visits of each SR Coach SRs on reporting Review and compile SR reports Audit follow up Coordination with CCC/CCM; TRP, LFA and GF Communicate with SRs, LFA and GF to resolve issues Develop newsletter and website Since the SRs are a critical element to achieving grant objectives, a timely and accurate reporting system is essential for the success of the grant. The PRs need to identify: • The information needed from the SRs to meet reporting requirements; • Who is going to collect the information; and • Timelines for collection and reporting to ensure GF requirements are met. To ensure reporting arrangements do not compromise service provision nor overwhelm the energy and attention of both PRs and SRs, consideration should be given to the following reporting and communication processes: • • • • jointly develop a reporting timetable which specifies what report is required when throughout each phase of the GF grant; develop a reporting template so that information is provided by SRs in a form that can be easily utilized and aggregated by the PR; provide clear definitions and data source for each element being reported; define a timetable for reviewing the reporting and communication arrangements themselves, so that if problems or delays are occurring, either party knows there will be the opportunity to seek amendment. In addition, it is the responsibility of the PR to ensure that separate external audits of each SR is performed, using an approach that is similar to that described in the Guidelines for Annual Audit of Program Financial Statements.20 In most cases, the auditor that performs the annual audit of the SR organization will also perform the annual audit of the GF-funded activities. The additional cost of auditing GF activities should be included in the SR budget – but not the fees associated with the regular annual audit. The PR should forward the SR audit to the LFA for review. 5.6. Selection of SSRs (if applicable) In some cases, the SR will have Sub-Sub-Recipients (SSRs). The SR is responsible for selecting the SSRs and ensuring that the Sub-Sub-Grant agreement has the minimum terms and conditions required by the GF. 20 http://www.theglobalfund.org/documents/8_pp_guidelines_annualaudits_4_en.pdf 41 Global Fund Project Chapter 6: CCM Oversight Oversight of Global Fund grants is one of the five core functions of the CCM and is a key element of good governance. This oversight responsibility covers proposal development, grant negotiation, implementation and closure, ensuring that resources are used efficiently and work to deliver agreed objectives21. CCMs and RCMs are responsible for the selection and oversight of the PR, while implementation responsibility lies with the PR, which in turn oversees the sub-recipients. The CCM’s oversight role is therefore intended to focus on long-term grant performance, including governance and accountability issues, while the PR is responsible for monitoring and evaluating the day-to-day implementation of the program.22 6.1. Role of the CCM A principal element of ensuring that oversight is carried out effectively by the CCM is that the definition of this function is not clear to all. It is often the case that oversight is misunderstood as Monitoring and Evaluation (M&E). Oversight is the function of the CCM while M&E is the function of the PR. Table 4: Oversight vs. Monitoring and Evaluation Oversight (CCM) • Key activity of governance • Governing body gives direction to the program implementer • Follows implementation activities and provide support when necessary • Provides strategic direction, ensuring adequate financial controls and procedures • Ensures the integrity of grant operations Monitoring and Evaluation (PR) • Key activity of implementation • Routine tracking of programPRoject performance • Helps identify where changes in programmatic inputs can effect better outcomes • Episodic assessment of changes in output as a result of program intervention • M&E activities focus on details, as opposed to oversight which is “big picture” There are five key questions that CCM members should be able to answer based on their oversight of Global Fund grants: • • • • • Finance: Where is the money? Procurement: Where are the drugs, bed nets, medical supplies and equipment? Implementation: Are the sub-recipients receiving the resources and technical assistance as planned? Results: Are the grants being implemented as planned? Reporting: Are the results meeting the performance targets agreed upon? 6.2. Role of the CCM Oversight Committee 21 Guidance Paper on CCM Oversight, Global Fund, Geneva 2008 http://www.theglobalfund.org/documents/ccm/GuidancePaperOnCCMOversight.pdf 22 Country Coordinating Mechanism Model CCM Oversight Practices, The Global Fund Implementer series, Geneva 2008 http://www.theglobalfund.org/documents/ccm/CCMOnePageBrief_CCMOversight_2008_10_en.pdf 42 Global Fund Project A recent evaluation of CCM oversight23 found that there is a range of oversight practices with in the countries studied. Generally, oversight is enhanced by good governance, transparency, multi sectoral participation. Specifically CCMs may set up permanent oversight committees to ensure the process is adequately addressed. These committees guarantee that the oversight function is fulfilled, often by establishing an oversight plan, organizing sight visits and synthesizing report data coming from the PR. An oversight plan is one of the requirements for a CCM to receive funding from the Global Fund to support its routine costs. The Basic Elements of an Oversight Plan include: • Definition of what the CCM will oversee - Identify sources of information - Indicate the level of the review - Determine the frequency of data collection and review - Define the reporting format • Schedule of Oversight activities - Plan quarterly reviews - Schedule regular plenary and technical group meetings - Description of processes to follow-up oversight recommendations • Good, General Organization: - Ensure administrative support, for example a CCM Secretariat in place - Validate an Operations Manual that guides CCM governance - Institute a Conflict of Interest policy - Provide orientation and educate new members - Plan for sufficient human, material and financial resources - Get appropriate and sufficient legal or policy mandates - Ensure good donor coordination. 6.3. Role of the CCM Secretariat As noted in the 2008 case study report, well functioning CCM secretariats can play a key role in ensuring that the CCM adequately performs its functions. Scopes of work for the CCM Secretariat may include; 1) Facilitate the management of CCM meetings and support structures. 2) Facilitate the process of oversight of Global Fund grants and monitoring the performance of principal recipients. 3) Facilitate the harmonization of Global Fund grants with other support activities. 4) Facilitate and coordinate the process of resource mobilization including the process of proposal development for Global Funds. 5) Document and disseminate Global Fund and CCM information and publications. 6) Facilitate the selection of principal recipients using defined criteria 7) Facilitate the development of procedures for closing Global Fund grants 23 Country Coordinating Mechanisms Oversight Practice, The Global Fund Implementer Series, The Global Fund, Geneva 2008 http://www.theglobalfund.org/documents/ccm/CCMThematicReport03-CCMOversight.pdf 43 Global Fund Project 6.4. Reporting Obligations of the PR The Grant Agreements outline the reporting requirements for each grant. The PRs are responsible for proper accounting and reporting for the Global Fund grants (Progress Report and Disbursement Request – PUDR). To fulfill this requirement, the PRs and SRs must maintain proper records and supporting documentation for all GF transactions and shall be required to produce such documents when required. Several steps are required to ensure proper reporting across all implicated partners. The first step in reporting is from the Secondary Recipient (SR) to the PR. Without this information, the PR cannot provide complete and accurate information to the LFA or the CCM. It is therefore of key importance that clear guidelines be provide to SRs, in standardized formats which are useful to both SR and PR. Technical assistance must be provided to SRs if they are unable to meet their reporting obligations due to lack of capacity. Once the PR has all the necessary information, it compiles reports on financial and operations for the Global Fund. The Global Fund requires quarterly or semi-annual reporting on grant progress and use of funds. Grant progress is measured against annual milestones which are developed by the PR at the start of each year, formally approved by the GFATM, and provided to all SRs. LFAs require complete data sets for review prior to the reports being sent to the Global Fund. CCMs require the same information, although often the quantity of information is too great for a quick an easy oversight analysis. For this reason dashboards have been developed for CCMs in certain countries, for example the Executive Dashboard in Tanzania and the Tablero de Mando in Honduras. These tools allow oversight committees or CCM secretariats to take the wealth of information provided by the PR and synthesize it into several tables for review by CCM members. Recommendations • • • • Develop CCM manuals articulating roles and responsibilities for oversight Strengthen CCM Secretariats so they can assume administrative and (limited) technical functions including meeting coordination, timely information dissemination, synthesizing reports and coordinating logistics for program reviews Institutionalize regular progress updates by PRs at CCM meetings in the presence of LFA and other (independent) observers Plan site visits (with clear terms of reference) by CCM members and nonCCM members. Encourage civil society networks and other partner for a contribute to program reviews. 44 Global Fund Project Chapter 7: Procurement Management—REFER TO THE OTHER FILE WITH CHAPTES 7 & 8 CORRECTED BY SIGFRID AND JAMES Procurement of goods and services paid for from the GFATM grant must meet specific procedures as laid out in the Procurement and Supplies Management Guidelines. 7.1. GFATM Policies and Guidelines The procurement policies and guidelines set by the GFATM are mandatory for all PRs, and SRs. The key policies are summarized in the following paragraphs. All implementers are advised to read Article18 of each Grant Agreement for detailed guidelines. • • • • • • • • Contracts shall be awarded, to the extent practical, on a competitive basis. Solicitation for goods and services shall be based upon a clear and accurate description of goods and services to be acquired. Contracts shall be awarded to responsible contractors that possess the ability to successfully execute the contract. No more than a reasonable price (as determined, for example, by a comparison of price quotations and market prices) shall be paid to obtain goods and services. The PR shall maintain records regarding the receipt and use of goods and services acquired under the Grant Agreement. In the case of health products, the PR shall procure the goods only after a procurement assessment has been conducted, and a procurement plan has been approved by the GFATM. The PR shall ensure that grant funds are not used to procure medicines that do not appear in the current standard treatment guidelines or on the essential medicines lists of the following bodies: the World Health Organisation, the Republic of Mauritius, or the PRs. Where a SR has been certified as having the requisite procurement capacity, the PR may permit the SR to use contracted local, regional or international procurement agent to conduct procurements. Title to goods or other property financed by the Global Fund under this Agreement shall be in the name of the Principal Recipient or a Sub-Recipient or other entity approved by the Principal Recipient. 7.2. Competitive Tendering Procurement of goods, works, and non-consultant services by PRs and SRs shall be in accordance with competitive procurement procedures, except as specified below. 45 Global Fund Project Table 5: Procurement Classes Contract or purchase price Below Rs2000 Rs 1001 – Rs 10,000 Rs 10,000 –Rs 200000 Procurement method • Buy off-the-shelf (directly from a shop/supplier) • Local Shopping Method • Bidding Method Rs. 200,000 – Rs 999,000 Above Rs 1,000,000 • • Tender Central Procurement Board How Buy in local shop Get 2 quotes locally Get 3 quotes from suppliers in the preferred supplier list Advertise and receive bids International Competitive Bidding (ICB) The following direction is given in the Grant Agreement with regard to the procurement of pharmaceuticals and other health products. 7.3. Tendering Methods The PR and SR may use any of the procurement methods, described below to procure goods, works, and non-consultant services. The PR is responsible for the procurement of all items that requires tender process. Tender must be raised when the anticipated annual value of business for a particular commodity is Rupees 200,000 or more or when a value of an individual purchases is in excess of Rupees 200,000 (excluding VAT/GST). Tender should be issued for all initial capital purchases. All tenders must be issued using the PR standard tender document. 7.4. Procurement of consultant services The procurement of consultant services should follow the same procedure as that described in Section 7.3 above. 7.5. Pharmaceutical and Other Health Products As used in this Agreement, the terms “medicines”, “multisource pharmaceutical product,” and “pharmaceutical products” have the meanings used by the World Health Organisation in the “Glossary” if its “Marketing Authorization of Pharmaceutical Products with Special Reference to Multisource (Generic) Products: A Manual for Drug Regulatory Authorities.” The term “health products” includes pharmaceutical products, diagnostic technologies and other products for prevention (e.g. condoms), or laboratory equipment and supportive products (e.g. microscopes and reagents). When sub-recipients (instead of or in addition to the Principal Recipient) carry out procurement activities governed by this Article, the Principal Recipient shall perform the functions applicable to the Principal Recipient under this article or ensure that sub-recipients perform them. All recipients of the Global Funds shall be bound by the terms of this article in the same way as Principal Recipient. 7.5.1. Procurement assessment and procurement plan Due to the complexity and significant risks of the procurement of health products, no grant funds may be used to finance such procurement until 46 Global Fund Project • the Global Fund has approved an assessment of the Principal Recipient’s capability to manage such procurement, unless the Global Fund agrees otherwise in writing; and • The Principal Recipient has submitted to the Global Fund, in form and substance satisfactory to the Global Fund, a plan, consistent with this Article 18, for the procurement and use of the health products that will be procured (the “procurement plan”). The procurement plan must include a plan to procure and use diagnostic technologies and supplies and other major categories of supplies related to the provision of the medicines. • The Global Fund advises the Principal Recipient in writing when it has approved the procurement plan. Unless the Global Fund and the Principal Recipient agree otherwise in writing, the Principal Recipient must ensure that procurement under the program is carried out in accordance with the procurement plan. 7.5.2. List of medicines to be procured Unless the Global Fund agrees otherwise in writing, Grant Funds must be used to procure medicines that do appear in current standard treatment guidelines or essential medicines lists of the World Health Organisation, the Host Country government, or the Recipient or Sub-Recipient. The procurement plan must include a listing of the standard treatment guidelines and essential medicines lists that will apply to the program. 7.5.3. Forecasting and inventory management The Principal Recipient must systematically and regularly update forecasts of the quantities of pharmaceutical and other health products needed for the program. Initial forecasts for new activities must be based on morbidity, adjusting the potential demand in light of realistic estimates of the anticipated capacity to deliver services. Forecasts for ongoing activities must be based on consumption. The Principal Recipient must monitor forecasts and regularly compare estimated needs for pharmaceutical and other health products under the program with actual consumption of such products. The Principal Recipient must report this information to the Global Fund. The Principal Recipient must develop a plan and information system to minimize the risk that products will be out stock. Not less frequently than semi-annually, the Principal Recipient must report to the Global Fund how often products are out of stock. The Principal Recipient must establish (or ensure the establishment of) product specific levels of local buffer stocks and closely monitor them. 7.5.4. Procurement Responsibilities Where the Global fund has determined that the Principal Recipient possesses the requisite procurement capacity, the Principal Recipient will be responsible for all procurement under the agreement and at its discretion may use or permit its sub-recipients to use contracted local, regional or international procurement agents to conduct procurements. Otherwise, the Principal Recipient must use established regional or international procurement agents or other mechanisms acceptable to the Global Fund. In all cases, the Principal Recipient is encouraged to use, or cause Sub-Recipient to use, capable regional and global procurement services wherever pooling of demand lowers prices for products of assured quality. 7.5.5. Procurement Practices The Principal Recipient must ensure that the procurement of pharmaceutical products under the Agreement adheres to the Interagency Operational Principles for Good Pharmaceutical Procurement, unless, in cases where actual practices differ from the 47 Global Fund Project Interagency Operational Principles for Good Pharmaceutical Procurement, the Principal Recipient demonstrates, in form and substance satisfactory to the Global Fund, a comparable system of competitive procurement by a group of pre-qualified suppliers, transparency and accountability to their practices and the application of necessary quality assurance mechanisms. 7.5.6. Lowest Possible price The Principal Recipient must use good procurement practices including competitive purchasing from qualified manufacturers and suppliers as outlined in item (e) above to attain the lowest price of products, consistent with quality assurance. 7.5.7. Compliance with quality standards The following information has been extracted from Global Fund documents. For any pharmaceutical products to be eligible for purchase with the Global Fund resources, its compliance with quality standards must be assured. Multi-source pharmaceutical products. Multi-source pharmaceutical products are pharmaceutically equivalent products that may or may not be therapeutically equivalent. Multi-source pharmaceutical products that are therapeutically equivalent are interchangeable. Multi-source pharmaceutical products tend to be available from a wide range of manufacturers around the world. They are off-patent products with publicly available quality assurance standards including, analytic methods and reference substances for the finished dosage form; that is, for which there is monograph for finished dosage form publicly available in one or more Pharmacopoeias (e.g., British Pharmacopoeia, United States Pharmacopoeia and International Pharmacopoeia). Quality assurance standards are publicly available for most medicines necessary in the control of tuberculosis and malaria, and to manage opportunistic infections in HIV/AIDS. For such multi-source products, there are no additional requirements other than (as described above) that verification of compliance with quality standards must be conducted in accordance with relevant requirements of the National Drug Regulatory Authorities in the recipient’s country. In November 2007, at its Sixteenth Board Meeting, the Global Fund Board decided that any pharmaceutical products for the treatment of AIDS, tuberculosis and malaria for which the monograph of the finished dosage has been published in International, US or British Pharmacopeia after 10 October 2002, shall be subject to the QA Policy for Single and Limited-Source Pharmaceutical Products. Single and limited-source pharmaceutical products In its Quality Assurance (QA) Policy, the Global Fund defines acceptable QA standards. Compliance with the Global Fund Quality Assurance Policy According to the QA policy, grant funds may be used to procure pharmaceutical products provided that they meet one of the following standards: a) such product is acceptable under the WHO Prequalification Program or; b) such product has been authorized for use by a stringent regulatory authority; If there are two or more manufacturers for which Option A or B applies AND the product is available from these manufacturers (defined as the ability to supply a sufficient quantity to the country within 90 days of the date of order), then the product must be procured from this set of manufacturers. 48 Global Fund Project c) If the Principal Recipient determines that there is only one or no equivalent pharmaceutical product that meets the standards of either (A) or (B) or if the Principal Recipient determines that the products that meet these standards are unavailable (Defined as inability of the manufacturer to supply a sufficient quantity of finished product within 90 days from date of order), then Grant funds may be used to procure another equivalent pharmaceutical product, provided that such product is selected in accordance with the following, in order of priority: d) The manufacturer has submitted an application for approval of such product to the WHO Prequalification Program or a stringent regulatory authority and such product is manufactured at a site that is compliant with the standards of GMP, as certified (after inspection) by the WHO or a stringent regulatory authority; or e) such product is manufactured at a GMP-compliant manufacturing site, as certified (after inspection) by the WHO or a stringent regulatory authority. A Principal Recipient shall inform the Global Fund Secretariat if it is planning to procure under provision (c) or (d), after having followed the above process. The notification should be addressed to the Global Fund Portfolio Manager assigned to the grant. If the Secretariat does not object, then Global Fund resources may be used to procure the products. The GFATM Secretariat, working with technical partners, shall contract an independent thirdparty to conduct random quality analysis of products being procured according to these criteria to ensure their quality in the absence of the Option A or Option B standard. In the event that (a) the submitted application for product approval is no longer under consideration; or (b) the independent third party finds the quality of the product to be unacceptable, then the Principal Recipient shall promptly terminate the contract with the supplying manufacturer. In all cases, products purchased with Global Fund resources are subject to the monitoring product quality standards prescribed by the Fund as specified in section 6 of the Report of the Third Board Meeting. Procurement of products according to criteria (c) or (d) should be time limited and Principal Recipients should defer to Option A or B as soon as possible. 7.5.8. National drug registration (must comply with local requirements if any) If pharmaceutical products intended for use under the program require approval by the cognizant national drug regulatory authority in the Host Country (the “National Drug Regulatory Authority”), such pharmaceutical products may be financed under the Agreement only if they have been granted such approval. 7.5.9. Monitoring supplier performance The Principal Recipient must monitor the performance of suppliers with respect to the quality of the goods and services they supply and must submit the information gathered to the Global Fund electronically for publication over the internet through a mechanism to be established or specified by the Global Fund. 7.5.10. Monitoring product quality The Principal Recipient must systematically ensure that random samples of pharmaceutical products financed under the Agreement are tested for compliance with applicable quality standards. The Global Fund will furnish additional guidance on this matter at a future date. However, in any event, the Principal Recipient must have appropriate monitoring systems 49 Global Fund Project in place that are acceptable to the Global Fund or provide for the use of international procurement agencies acceptable to the Global Fund. 7.5.11. Supply chain With regard to the supply chain for pharmaceutical and other health products financed under the program, the Principal Recipient must seek to ensure optimal reliability, efficiency and security. 7.5.12. Avoidance of diversion The Principal Recipient must implement and ensure that Sub-Recipients implement procedures that will avoid the diversion of program-funded health products from their intended and agreed upon purpose. The procedures should include the establishment and maintenance of reliable inventory management, first-in stock control systems, internal audit systems, and good governance structures to ensure the sound operation of these systems. 7.5.13. Adherence to treatment protocols, drug resistance and adverse effects The Principal Recipient must implement mechanisms to: • • • Encourage patients to adhere to their prescribed treatments (which mechanism must include but not limited to fixed-dose combinations, once-aday formulations, blister packs, and peer education and support); Monitor and contain drug resistance; and Monitor adverse drug reactions according to existing international guidelines. To help limit resistance to second-line tuberculosis drugs and to be consistent with the policies of other international funding sources, all procurement of medicines to treat multidrug resistant tuberculosis financed under the Agreement must be conducted through the Green Light Committee of the Global Stop TB Partnership. 50 Global Fund Project Chapter 8: Financial Management—REFER TO THE OTHER FILE WITH ONLY CHPATERS 7 & 8 AREADY CORRECTED BY SIGFRID AND JAMES 8.1. Overview of Financial Management for GF The responsibility for the general management, the financial management and the administration of the agreement between Global Fund to Fight Aids, Tuberculosis Malaria and the National AIDS Secretariat – Government PR and the Mauritius Family Planning and Welfare Association – public PR is delegated to the Program Management Unit in the following context: • • PMU provides the bookkeeping, accounting, and cashier function of the grant, and fiscal control in relation to government policies. PMU monitors and evaluates program accomplishment and utilization of funds based on grant agreement with GF, and facilitates request for succeeding funding in relation to Project status and performance. The diagram in Figure 7.1 below illustrates the relations between GF and the partners involved in the implementation of the project, i.e. the Principal Recipient and the SubRecipients (SR). Figure 4: Flow of funds, financial reporting and liquidations 51 Global Fund Project 8.2. Financial Management Objectives The PRs overall goal of financial management is to ensure an effective and efficient fund management system, including speedy flow of funds to the implementers and the timely submission of disbursement requests and financial reports. Specifically, its main objective is to facilitate full utilization, recording, accounting and reporting of the funds received from the GF, including funds issued to SRs. GFATM financial management objectives are: • To promote the rapid transfer of resources to assist the target population: The GFATM desires to have resources reach the beneficiaries as fast as possible to address urgent health needs of those affected. Adequate structures have to be put in place to facilitate efficient and effective transfer of funds, commodities and drugs to the beneficiaries at all levels. • To ensure that the resources are used accountably and that they achieve results: Through the capacity assessments conducted by the LFA and the PR on the PR and the SRs respectively, the existence of a comprehensive accounting, reporting, monitoring and evaluation systems is confirmed. These systems will ensure the proper accounting and documentation of resources and results. This is augmented by the regular oversight by the CCM and the verifications carried out by the LFA. • To support ownership of country stakeholders and sustainable organizational development: The CCM comprises membership from the public, private, and civil society sectors, and all sectors that play a role in management of the control of malaria. The GFATM sets aside funds for capacity building within implementing partners. • To comply with GFATM grant requirements and institutional financial regulations: The GF activities and transactions will be guided by the GFATM requirements, and the approved financial, procurement, and staffing rules and regulations of the PR. 8.3. Roles and Responsibilities of the PR and the SRs Table 6 below summarizes the roles and responsibilities that the PR and SR are expected to assume when managing GFATM funds. It is intended to guide the implementing partners in understanding their financial management obligations. 52 Global Fund Project Table 6: Financial Management Roles and Responsibilities Implementing Entity Financial Roles and Responsibilities PR • • • • • • • • • SR SSR* • • • • • • • • • • • • • • • • • • • • • • • • • Negotiate and enter into legally binding grant agreements with the Global Fund. Receive, manage, and account for grants from the Global Fund. Ensure that terms of the grant agreement, including all conditions precedent to disbursement, are fulfilled in a timely manner. Secure the assets of the Global Fund support program. Monitor the overall financial performance of the supported program components Assess and monitor the financial performance of sub-recipients of Global Fund grants. Banking function for GF funds in the country. Request for disbursement from the Global Fund and make subsequent disbursement to sub-recipients as per the PGA Pre-award assessment of sub-recipients, including identification of management strengthening needs. Transfer program funds and facilitate incurring expenditures. Accounting and financial reporting. Verify sub-recipient financial reports. Consolidate SRs reports into single grant report for Global Fund. Monitor funds absorption rate. Annual audit. Respond to queries by LFA. Ensure tax exempt status of grant funds and process tax exemptions. Prepare EFR reports and submit to the Global Fund when due Negotiate and enter into legally binding grant agreements with the PR Receive, manage, and account for grants from the PR Request for disbursement from the PR Banking function for GF funds Received from PR Accounting and financial reporting for Global Funds project Allow the PR to oversee the implementation of the project through verification, Capacity building interventions and carrying out reviews or audits when required. Assess capacity of SSRs Transfer GF funds to the SSRs Receive, verify, and consolidate reports from the SSRs and submit to the PR Monitor fund absorption rates Account for revenue earned from the program Ensure independent annual financial audit Banking function for GF funds Request for disbursement from the SR Accounting and financial reporting * If Applicable 8.4. Financial Accounting, Procedures and Systems Requirements The project financial accounting structures, system procedures and requirements should as much as possible comply with the applicable national legal provisions however must indisputable fulfill the requirements of the GFATM. Being a project with its own characteristics and by fulfilling the requirements of GFATM the financial management information system, including the accounting software application, by nature differs from the public accounting system. The GFATM demands, to the largest extent possible, that the policies and financial management procedures of the grant, between the fund and the PR and SRs, are complying with the standards and the modalities of the fund. In the rare cases where the policies and procedures differ from the established standards, they should at least be able to fulfil the following requirement: 53 Global Fund Project • • • • Assure an efficient flow of funds to program implementers; Provide for adequate and transparent reporting of program results; Facilitate transparent, competitive and effective procurement; and Support effective monitoring and evaluation. 8.5. Pre-Grant Financial Management Capacity Assessment Appropriate Financial Management of the PR and the SRs is critical for the successful implementation of subsidies approved by the GFATM. Therefore, before the signing of the grant agreements, the LFA will assess the capacity of the Principal Recipients. The objective of the assessment is to confirm that the organizations can meet the Required Minimum Capacities (RMC), i.e. that they have the appropriate accounting structures, policies, and systems in place before the first disbursement of the GFATM funds. The assessment will cover, but not necessarily be limited to, the following management areas: • • • • • • • Financial Management System in general Planning and Budgeting System Accounting System Treasury System Procurement System Assets Management System (Fixed Assests) Audits • PRs are in turn responsible for Assessment of SRs and SSRs before subsequently signing the agreement with them. However, if the LFA perceives that the PR does not have the capacity to do the assessment as stated above; it may decide to extend the capacity assessment to the SRs and SSRs as provided in the LFA guidelines. 8.6. GFR8 Budget The GF project budget does not go through the budget cycle of the PR. It is prepared independently of the overall PRs budget. The Project is guided by the grant budget, the annual work plan budgets, and the forecast budget. The GF project budget (together with the work and financial plan) serves as a guide in the conduct of activities towards the attainment of project objectives, goals, and targets. The budget for phase one has been done at the beginning of the program. However, PRs are required to prepare the budget forecast, in close collaboration with the SRs and these will be the basis for the succeeding fund releases from the Global Fund. The basis for the compilation of the PUDR is the quarterly financial reports and requests for disbursement elaborated by the SRs and submitted to the PR for consideration before being discussed at the quarterly coordination meetings between the implementing partners. Where there is a need to revise the budget forecast, the details of the budget forecast may be modified but maintaining the total approved forecast amount and upon approval by the Project Manager. 8.7. Monthly Financial Progress Report To ensure PRs management is updated on the financial position of the Global Fund project the PMU Financial Officer (FO) shall provide the Grants Manager (GM) and other members 54 Global Fund Project of the team, within 10 days of the succeeding month, a copy of the consolidated monthly financial progress reports The FO shall record the payments made by Programme Objectives (POBJ), Service Delivery Area (SDA), Program Activity (PA) and Expenditure Category (EC), and shall provide the financial report summarized to the PMU M&E Unit. 8.8. Disbursement and Flow of Funds Procedures The disbursement and flow of funds procedures shall comply with the applicable accounting and auditing rules and regulations and must be in accordance with the established Global Fund guidelines. Budget Utilization Requests are endorsed by the program offices of the implementing partners and are approved by the FO, the Monitoring and Evaluation Officer (MEO) and the GM before any further processing of the request. The request for approval provides control for the use of available funds for GFR8 activities within the approved budget forecast. GFATM disbursements occur at three levels: the GF Secretariat to the PR; the PR to the SRs; and the SRs to the SSRs24. The Sections below describe the procedures used to make these transfers, respectively. 8.8.1. Disbursement Procedures: from the GF Secretariat to PR The following steps describe the process for transferring funds from the GFATM Secretariat to the PR: First Disbursement 1. 2. Upon signing of the grant, the PR submits to the LFA a first disbursement request form. The GFATM Secretariat shall disburse to the PR an amount equivalent to cover program cash requirements for the first semester , plus one additional quarter as buffer. The buffer is to allow for adequate cash flow to continue implementation of activities, while the subsequent Disbursement Request (DR) is being considered by the GFATM Secretariat. The first disbursement will be made only if all conditions precedent to the disbursement has been met. Subsequent Disbursement 1. 2. 3. 24 For subsequent disbursements, the PRs shall complete and submit a PUDR form as required by the GFATM Secretariat. The PUDR shall be signed by the person(s) authorized in the grant agreement by the PR and GFATM. The PRs are required to submit the PUDR semi -annually within 45 days of the succeeding quarter or as specified in the Grant Agreement. An example of the template of the financial part of the PUDR covering the first quarter of the implementation of the programme is found in ANNEX 2. The PRs will provide the CCM with a copy of the PUDR and a short presentation of the results during the reporting period. This shall be done prior to submission to the LFA to address issues and incorporate any suggestions that may arise. Subsequently the PRs shall submit the PUDR to the LFA for review, verification, and forwarding to the GFATM Secretariat. In the event the LFA encounters any problems with the PUDR, the LFA will communicate the issues to the PRs for correction and resubmission. Currently (June 2009) there are no Sub-sub-recipients in the project. 55 Global Fund Project 4. 5. The GFATM Secretariat will check the PUDR, and if satisfied, instruct the Fund Trustee, The World Bank, to transfer the funds to the PR. If any issues surface, the GFATM Secretariat shall communicate these directly to the LFA. The Fund Trustee will transfer the funds electronically and notify the PRs. The funds will be received and deposited in the project bank account held by the PR. 8.8.2. Disbursement from the PR to SRs The procedures for flow of funds from the PR to the SRs are outlined below. First Disbursement 1. The PRs shall transfer funds to the SR on the strength of (i) a signed subagreement, (ii) the Disbursement Request (iii) the quarterly work plan. The NASPR shall facilitate the signing of the sub-agreement/Memorandum of Agreement (MOA) with the SRs. The MOA will set out the terms and conditions for transferring GF funds to the SR. Copies of the sub-agreement will be furnished to (i) the concerned Programs, (ii) the Finance Department of PR. The disbursement shall be on a quarterly basis Subsequent Disbursement 2. For the second and subsequent disbursements, the SRs shall submit to the programs, on a quarterly basis, the Quarterly Progress Report and Disbursement Request (QPRDR). 1. The QPRDR has two parts: The first part reports on the financial performance of the Sub-Recipient during the quarter under review and contains five integrated sub-reports. Form A: Reports on financial performance (i.e. Disbursements and Liquidation’s) per Programme Activity and the balances for the quarter under review. Form B: Reports on financial performance per Programme Activity compared to the plans, for the quarter under review as well as for the entire period from the start of the programme to the end of the quarter. Form C: Reports on financial performance per Programme Objective, Service Delivery Area and Cost Category, for the quarter under review as well as for the entire period from the start of the programme to the end of the quarter. Form D: Gives a graphic presentation of the results as reported in forms A to C. Form E: Reports on the outstanding balances per Programme Activity (i.e. disbursements not liquidated to sub recipient’s project officials for realization of programme activities) 2. The second part reports on the activity plans and budgets for the following two quarters and the calculation of the funds required in order to carrying out the planned activities. This part contains two integrated reports: Form F: Presents the activity plan per activity and compares each planned activity to the initial plans from the Work Plan approved by GFTAM. Form G: Calculates the funding requirement in order to carry out the planned activities taking into consideration the Sub-Recipient’s cash balance at the beginning of the quarter. The QPRDR will be (i) checked and verified by the FO for consistency with the activity plan and budget and (ii) validated by the M&E Specialist. After approval by the finance as well as the technical specialist the QPRDR will then be submitted to the Grants Manager for approval and subsequently passed to the Finance Department for further processing. 56 Global Fund Project An example of a template of QPRDR for the National HIV AIDS Program for the first quarter of the implementation is found in Annex 3 8.8.3. Processing Payments from the PR Bank Account to the SRs The steps of the payment process are as follows: 1. The QPRDR will be the basis for the preparation of the Disbursement Voucher (DV), and required supporting documentation. This will be coordinated by the Finance Specialist and M&E Specialist. 2. The disbursement voucher (DV) together with attached supporting documents will be checked and verified by the PR Finance Department and the Technical Department in terms of correctness and completeness and in compliance with the subagreement/MOA, grant agreement, and GFATM guidelines. 3. The Finance Department will record the transaction and process the transfer of funds which under normal circumstance will be by wire transfer from the PR bank account to the SR bank account, or by check. 4. The bank account signatories sign the wire transfer request (or sign the check) and return the documents to the cashier for recording and releasing. The cashier records the payment in the accounts and informs the respective payees about the transfer. 57 Global Fund Project Figure 5: Financial Management Information Flow Sub-Recipients PMU/PR P1 Base QPRDR Base QPRDR P2 Actual QPRDR Actual QPRDR Consolidated Consolidated QPRDR QPRDR Draft PUDR Draft PUDR CCM GFATM/LFA P3 Revised Draft PUDR P4 P1 = P2 = P5P3 = P4 = P5 = P1 = P2 = P3 = P4 = P5 = Last week of quarter under review No later than 20 days after end of quarter No later than 35 days after end of quarter No later than 41 days after end of quarter No later than 45 days after end of quarter Final Draft PUDR Approved PUDR Approved PUDR Last week of quarter under review No later than 20 days after end of quarter No later than 35 days after end of quarter No later than 41 days after end of quarter No later than 45 days after end of quarter 58 Global Fund Project 8.9. Disbursement from the SRs to the SSRs The procedures for transfer from the SR to the SSRs are outlined below. First Disbursement 1. The SR shall transfer funds to the SSR on the strength of a signed sub-agreement, the Disbursement Request and the work plan. The SR shall facilitate the signing of the sub-agreement/MOA with the SSR using the sub-agreement template. Upon receiving the grant money from the PR, the SR shall disburse the first instalment to the SSR, in accordance with the MOA, the DR, and the annual work plan. Subsequent Disbursement 2. For the second and subsequent disbursements, the SSRs shall submit to the SR, on a quarterly basis, a PUDR on the basis of which payment will be made. 8.10. PMU Expenditures The procedures for expenditures incurred by the PMU shall in general comply with the procedures for other implementing partners as described above. The steps are as follows: 1. The PMU staff will prepare the Disbursement Voucher (DV) and required supporting documentation. This will be coordinated by the Finance Specialist and M&E Specialist. 2. The disbursement voucher (DV) together with attached supporting documents will be checked and verified by the PR Finance Department and the Technical Department in terms of correctness and completeness and in compliance with the MOA, grant agreement, and GFATM guidelines. 3. The Grants Manager approves the payment. 4. The Finance Department will record the transaction and process the payment. 5. The bank account signatories sign the wire transfer request (or sign the check) return the documents to the cashier for recording and releasing. The cashier records the payment in the registry and informs the respective payees about the transfer. 8.10.1. Petty Cash Fund Procedure Each PR PMU will establish a Petty cash fund to provide for minor payments. Guideline on procurement is section 7 above will apply to procurement of MUR 1,000 or less. The Grant Manager will designate one of the finance staff to be the petty cash custodian and will administer it in line with the organisational rules and regulation. At a minimum the following procedure is expected to be followed. Authorization 1. The Requesting Staff will complete the Petty Cash Voucher (PCV) for payment of cash required to support the project activities. 2. The Petty Cash Voucher will be approved by the Programme Manager and will be presented to the cashier for payment. 3. The cashier will process the payment using the PR procedures. Liquidation 1. The Petty Cash Recipient will liquidate the petty cash based on the established accounting and auditing rules and regulations. 2. No petty cash will be authorized or paid to officers who have not liquidated all previous cash advances. 59 Global Fund Project Replenishment 1. The Petty Cash Custodian (PCC) will effect replenishment of the petty cash fund when 75% or more of the fund has been expended. 2. The PCC will prepare Summary of Expenses based on the Petty Cash Vouchers (PCV) submitted for liquidation by the concerned Program or offices. 8.10.2. Cash Advance Procedure Use of cash for project activity under the programme is highly discouraged. However, when staff require cash for project activities such as conducting a workshop or for travel allowance, the applicable organisational rules and regulations will apply. At a minimum the following authorisation and liquidation must be met. Authorization 1. The Project staff will complete a cash advance form for payment of cash required to support the project activities to be implemented. 2. The cash advance will be approved by the Grants Manager or designated officer and presented to the cashier for payment. 3. The cashier will process the payment using the PR laid down procedures. Liquidation 1. The Project staff will liquidate the petty cash based on the established accounting and auditing rules and regulations. 2. 3. No petty cash will be authorized or paid to officers who have not liquidated all previous cash advances. 8.11. Bank Accounts, interest, Program Revenue Requirements and Signatories for Financial Transactions The PR, the SR, and the SSR shall be required to open a GF-dedicated bank account in order to receive GF funds. To the extent possible, any unexpended funds shall be held in a bank account which bears interest. Interest earned from grant funds shall be accounted for and spent on Project activities. Any revenue earned from Project activities shall be accounted for and used solely for Project purposes. Budget Utilization Requests are endorsed by the program offices of the implementing partners and are approved by the FO, the Monitoring and Evaluation Officer (MEO) and the GM before any further processing of the request. The request for approval provides control for the use of available funds for GFR8 activities within the approved budget forecast. Signatories shall be in accordance with the Approved Delegation of Authorities of the PR 8.12. Travel 8.12.1. Local Travel 60 Global Fund Project The PRs personnel and Project staff on duty travel will be entitled to a daily subsistence allowance (DSA) during the entire period of the activity. Local travel will include field visits to site for monitoring, data collection and validation, forums, meetings, workshops, and training. Table 7: Entitlements for Local Travel Items Daily Subsistence Allowance (SDA)* Rates Dependent on organizational policies Taxi, Bus Fare Actual Vehicle Rental Actual *Daily Subsistence Allowance does not include local field transportation. 8.12.2. International Travel The PR personnel and Project Staff on duty travel (international workshops, trainings, meetings related to the project goals and objectives) will be entitled to per diem, lodging allowance, transportation allowance (airfare and local transport expenses) during the entire period of the mission. Other expenses related to the travel will also be charged to project funds (see table below). Similar support may be provided to other individuals whose travel is highly related to the project goals and objectives or may act to represent the project in official meetings or conferences. Table 8 Entitlements for International Travel Items Per Diem/Lodging Rates Use organisational guidelines Visa Fees Actual Plane Fare Actual Ground Transportation Actual Tax/Terminal Fees Actual 8.13. Reporting to the GFATM 8.13.1. Reporting Requirements The grant agreement outlines the reporting requirements to the GFATM. The PR shall be responsible for proper financial accounting and reporting for the GFATM grants. To fulfil this requirement, the PR shall be required to complete and submit quarterly the consolidated Progress Update and Disbursement Request (PUDR) and other reports to the GFATM. As basis for the consolidated PUDR the SRs, and SSRs (when applicable) shall be required to complete and submit quarterly the QPRDR, accompanied with proper documentation for the expenses incurred, i.e. general ledger of payments, bank reconciliation and copies of payment vouchers. Table 9: Timelines for Financial Reporting 61 Global Fund Project Item Reporting Agency Report Description Frequency Due Dates 1 Principal Recipient (PR) Semi Annual PUDR Semi Annual 45 days after end of period Annual Progress Report Annually 18 months after start date and thereafter annually Audit Status Report Annually 6 months after end of fiscal year 2 Sub-recipient (SRs) Quarterly QPRDR Quarterly 15 days after end of period 3 Sub sub-recipient (SSRs) Quarterly QPRDR Quarterly 10 days after end of quarter 8.13.2. Quarterly Progress Update and Disbursement Request (PUDR) The grant agreement requires the PR to prepare and submit to the GFATM, not later than 45 days after the end of the quarter, the PUDR. The report shall indicate programmatic and financial progress update and disbursement request. The PUDR shall show the program expenditure variance and explanations between planned and actual expenditure. The report shall be submitted at all levels in the format provided by the GFATM (see Error! Reference source not found.). Similarly, PR requires the SRs to submit, not later than 15 days after the end of the reporting quarter, the QPRDR together with supporting documentation. The forms A to E of the QPRDR provide for reporting on disbursements, expenditures and balances, while the forms F and G are on plans and funds requirements for the following two quarters. The SSRs (when applicable) on the other hand should submit their quarterly progress update and disbursement request to the SR not later than 10 days after the end of the reporting period. 8.13.3. Annual Progress Report The grant agreement requires the PR to submit not later than 18 months after the phase 1 starting date and on an annual basis thereafter to submit to the GFATM an annual progress report covering programmatic progress during the fiscal year. The PMU will coordinate the preparation and submission of the report within 6 months of the fiscal year end. 8.13.4. Variance Analysis The PUDR includes a section for reporting on the program expenditure variances for the quarter and on cumulative basis. The PUDR provides for capturing the budget, actual expenditure and variances for the quarter and cumulative. Reason for the variances should also be described. It is incumbent therefore that the PR and the implementing partners will keep records in a manner that facilitates this reporting. As the PUDR already provides a format for reporting the variances, the SRs will be required to complete the underlying QPRDRs that form the basis for the consolidated PUDR. The programme coordinator will consolidate the PUDRs and 62 Global Fund Project give a narrative explanation of the variances. These explanations will be discussed by the project implementation team and recommendations for correction agreed on before the PUDR is sent to the CCM. The explanations and the actions will be included in the PUDR to be sent to the CCM and the GFATM. 8.13.5. Record Keeping The PR, SRs, and SSRs shall keep all financial and technical documentation in storage for a period of three years after the end of the programme. If requested, they should be able to retrieve specific documents within 30 days. During the project implementation period, both the current and previous year’s financial and technical documentation shall be kept in the office. These documents should be immediately accessible when required by appropriate authorities for verifications or audits. The SRs are required to document their expenditures as laid down in the QPRDR by submitting copies of payment vouchers to PR as part of the Quarterly Financial Report. 8.14. Enhanced Financial Reporting (EFR) 8.14.1. Background As of January 2008, the GF is requesting an additional, new type of report, the Enhanced Financial Reporting (EFR). The EFR is designed to improve: • • • • • The application of Performance-based Finance and Grant Management Transparency and Accountability The leveraging of additional financial resources The response to requests from the GF, Board, donors and stakeholders The ability of the GF to assess value for money in its investment The GF provides a template for the preparation and submission of the EFR. One of the key differences on this reporting template versus the PUDR is that the EFR needs to include direct expenditure and budget for the GF funds at the PR level, at the SR level and at the SSR level. “The consolidated total will equal the overall budget and actual expenditure for the year.”25 The PR has the responsibility to collect financial information for itself and from the SRs, complete the EFR and submit it to the LFA within the established timeframe. The EFR must be completed using the CASH basis method of accounting. 8.14.2. Timelines The Financial Reporting Template is submitted annually, based on the grant’s cycle year (i.e., every 12 months from the start date of the grant). Additionally, the EFR is submitted with the Request for Continued Funding (RCF) for phase 2, normally 18 months after the grant’s start date. In this case, the end of the EFR’s reporting period will have to be aligned with the programming reporting period. The deadline for the annual EFR is within 45 days of the end of the reporting period. 25 Guidance for Completion of the Enhanced Financial Reporting Template Version: November 2007, The Global Fund, page 4. 63 Global Fund Project For the PR, tTable 10 below provides the annual deadlines for the entire project: Table 10: Project Deadlines Project Year Year End date EFR Deadline Year 1 December 31, 2010 February 14, 2011 Year 2 December 31, 2011 February 14, 2012 Year 3 December 31, 2012 February 14, 2013 Year 4 December 31, 2013 February 14, 2014 Year 5 December 31, 2014 February 14, 2015 8.14.3. The EFR Template Format The EFR template is comprised of four tables: (i) Table A - Breakdown by Expenditure Categories; (ii) Table B - Breakdown by Program activity; (iii) Table C Breakdown by Implementing Entity; and (iv) Table D - Additional Information. Table A - Breakdown by Expenditure Categories This table allocates current and cumulative budget and expenditure amounts following the GF cost categories: Human Resources; Technical Assistance; Training; Health Products and Health Equipment; Medicines and Pharmaceutical Products; Procurement and Supply Management Costs (PSM); Infrastructure and Other Equipment; Communication Materials; Monitoring and Evaluation (M&E); Living Support to Clients/Target Population; Planning and Administration; Overheads; and Other (NB: the “Other” category should be used very sparingly and always with detailed justification). Table B - Breakdown by Program Activity In Table B, the same information presented in Table A is now grouped by Macro Category, Objective and by Service Delivery Area (SDA). The options for the Macro Categories are given in the template and can be selected by picking from a dropdown list. For the Objectives, the same description as in the grant agreement has to be used. In the SDA section, a choice must be made selecting the appropriate SDA from the drop-down list provided in the template. If one or more of the SDAs used are not included in the list provided, they can be typed directly. All the Objectives and SDAs used in the agreement have to be included in the report. Table C - Breakdown by Implementing Entity This is arguably the easier section, where the same amounts for budget and expenditure are reported grouped by implementing entities, the PR and the SRs. The template allows the definition of implementing entities among the following choices: FBO; NGO/CBO/Academic; Private Sector; Ministry of Health; Others; UNDP; and other Multilateral Organizations. Tables A, B, and C contain columns for budget, actual expenditure, variance and reason for variance for the current reporting period and cumulative from the beginning of the grant. In completing these sections in all the tables, attention must be paid to the following: 64 Global Fund Project The Budget Section. The budget column must be updated with the most recent grant year’s data or up to the RCF for Phase 2 application date. The total amount for the budget by Accounting Category in Table A must agree with the total amount for the budget in Tables B and C. If the budget has been revised at the beginning of the reporting period, then it should be used as revised when completing the budget section in Table A. The budget for the current reporting period cannot be revised to match actual expenditure without solid justification. The Expenditure Section. The expenditure column must be updated with the most recent grant year’s data or up to the RCF for Phase 2 application date. The total amount for the expenditure by Accounting Category in Table A must agree with the total amount for the expenditure in Tables B and C. The PR will report on direct expenditure only; disbursements to SRs are NOT to be included in the PR section of the expenditure. SRs will report on their direct expenditure and the direct expenditure of the SSRs. The manual allocation of expenditure to relevant SDA is allowed if necessary and must be justified in Table D. The Variance and Reasons for Variance Sections. The template automatically calculates the variance between actual expenditure and the budget. The PR needs to be as specific as possible in highlighting the reasons behind each variance. Special attention should be paid in linking financial information in the template with programmatic results over the same period; e.g., “If expenditure was extremely low and results were very high, what is the reason?”26. The Annex worksheets of the template can be used when the analysis of variance requires a detailed and lengthy explanation. 8.14.4. Preparing for the EFR In order to comply to the EFR requirements as in Tables A and B in an efficient and effective manner, the PR uses a special system of coding each transaction processed in addition to the regular accounting procedures used at the PR. The coding system is part of the Project Level Accounting System developed specifically for the GF grant. The PR uses a customized excel file where each transaction is recorded and stored before is sent to be processed in the PR accounting system. To facilitate the sorting and reporting capabilities focused at, but not limited to, the production of Table B of the EFR, each transaction is assigned a code to represent the objective and SDA the transaction refers to. To enable the classification of expenditure in Table A according to the EFR requirements, each transaction is also assigned the relevant accounting category at time of entry into the Program Level Accounting System. 8.15. LFA Verification The grant agreement provided for the LFA, on behalf of the GF, to verify the PR progress towards the objectives of the grant programs, and the use of the funds. The LFA shall carry out this verification through ad-hoc checks on the records and facilities of the PR, the SRs, and the SSRs on a routine basis, and all implementers shall be expected to give maximum cooperation. 26 Guidance for Completion of the Enhanced Financial Reporting Template Version: November 2007, The Global Fund page 11 65 Global Fund Project 8.16. Audit 8.16.1. Internal Audit The Internal Audit is under the supervision of the UTG Financial Specialist. The supervision is complying with the format and procedures laid down in the Financial Monitoring and Evaluation Procedure. An outline of the checklist for Financial M&E is found in ANNEX 12. 8.16.2. Independent Audit of Principal Recipient and SRs Section 13 of the grant agreement requires the PR to have an annual financial audit by an independent auditor. The PR shall appoint the independent auditor and notify the GF for approval not later than three months after starting of Phase 1 of the grant. The PR shall also ensure that SRs and SSRs are audited annually, and shall submit to the GF a plan for such audits not later than six months after the Phase 1 starting date. In addition to and in preparation of the annual audits, the PR shall visit the SRs and the SSRs quarterly to monitor financial management and transactions. 8.17. Forex Management The GFATM supports performance-based projects. The PR shall be required to ensure that the grants are used in an accountable and transparent manner to achieve results. Fluctuations in exchange rates between the US dollars and the peso put the GF funds at risk. To manage the fluctuation in exchange rates in order to secure adequate funds in local currency, budget forecast must be computed to cover fluctuation in exchange rates, and inflation, among others. 8.18. Taxes and Duties The grant agreements strongly encourages the PR to ensure that goods and services purchased by the PR and the SR using grant funds shall be free from any taxes and duties imposed by the Philippine government. PR is expected to submit to the GFATM not later than 90 days after the starting date of Phase 1 the status of exemptions from taxes and duties. If a tax or a duty is paid on exempted duties, the GFATM shall recover the money paid from the NAS/PR. 8.19. Asset Management 8.19.1. Acquisition, Inventory Management and Procedures All acquisitions under this project shall be the responsibility of the NASPR. The NASPR, SRs, and SSRs shall maintain a fixed asset register for all purchases above the equivalent of Euro € 800, which shall include the type of item, date of purchase, cost, funding source, serial number, inventory item tag number, condition, and location. The management of consumable supply sets (i.e., office supplies, fuel, car parts, etc.) shall be done using an Inventory Sheet documenting the purchase date and use of these items. Also, if an organization is warehousing items, there shall be a Warehouse Inventory Log kept of all assets and a visual audit shall be possible at all 66 Global Fund Project times. In addition, a bin/card system should be in place. Asset management shall be reviewed during the capacity assessment. A semi-annual or annual physical inventory of project acquisitions above Euro € 1,000 at the NASPR and those transferred to sub-recipients/implementing partners will be undertaken to track these assets and ensure their proper maintenance and use. 8.19.2. Tagging of Equipment All fixed assets will be tagged with identification numbers which will correspond to the inventory list or the fixed asset register. 8.19.3. Safeguard of Assets Distribution of non-expendable equipment (e.g., medical instruments, fixtures and furnishings, computers, printers, LCDs, refrigerators, vehicles and similar items) either to an office, agency or institution, and individual shall be covered by the Asset Registration Entry (ARE) to be issued by the PR. Holders of the AREs will be responsible for the safekeeping, custodial care, proper use, maintenance, and repair of the item issued to them. The PR will hold any SR/IP to whom assets are issued liable for the loss or theft, replacement of, or damage to any and all items purchased with grant funds. 8.19.4. Disposition of Assets All assets remain to be the property of the PR until a decision as to its proper disposition is decided. At the end of the project, the PR shall conduct an inventory of all acquisitions made and dispose the acquisitions accordingly, based on the GFATM Guidelines for Closing of projects. 8.19.5. Property Transfers Any transfer of an asset valued at more than Euro 1,000 shall be documented in a Property Transfer Document (PTD). A copy of this document shall be attached to the purchase information and held by the finance and property office of the PR and the SR. 8.19.6. Project Supplies and Items Distributions All project supplies distributed to beneficiaries shall be properly logged. This includes all items distributed to organizations, community groups, or individuals. These records shall be kept with a link to the Warehouse Inventory Log if warehoused. 8.19.7. Insurance Coverage The PR will ensure that all assets are covered by a reputable insurance firm and that the coverage is in accordance with the PR insurance policy and procedures. 67 Global Fund Project Chapter 9: Monitoring and Evaluation 9.1. Principles of GFATM in Terms of M&E GFATM M&E documentation indicates a number of guiding principles for GFATM in terms of Monitoring and Evaluation processes. These have been restated hereunder, acknowledging that this document has been built around these principles: • • • The overall performance of the Fund will be independently evaluated in terms of the effect of investments on the goals of relieving the burden of disease, achieving public health impact, and contributing to the achievement of millennium goals; Monitoring at the country level is proposal-driven, but also linked to the Fund’s overall monitoring and evaluation system; and The Fund will seek to use, wherever possible, existing monitoring and evaluation mechanisms. Monitoring is needed to verify and record the progress of project implementation, to track and validate whether activities have been implemented as planned and based on grant agreements both from a technical and financial perspective. Monitoring also ensures accountability of undertakings, allows for the detection of any problems or Project implementation constraints, and helps to provide data necessary for appropriate feedback to the relevant authorities for proper actions or measures to be undertaken. Thus, this promotes better planning through careful selection of strategies for future action. Specifically, the objectives of monitoring are: • • • To track progress of implementation of targeted indicators; To identify problems/constraints in the project implementation in order to institute corrective measures in a timely manner; and To facilitate achievement of planned targets in a timely manner. 9.2. Key Elements of a M&E Plan The Monitoring and Evaluation (M & E) plan is a vital management tool to be used by program managers and other key stakeholders to ensure that the program is progressing as intended, or to highlight areas in need of adjustment to achieve the desired results. PRs and sub-recipients will prepare M & E plans primarily as a guide for themselves to ensure that the programs are monitored appropriately. The M & E plan will also be used by the Global Fund to agree upon the intended results to be achieved during the duration of the grant period with the PR, which will be monitored over time to generate periodic disbursements. The M & E plan should include: • • A description of how the data will be analyzed and used by the PR, the CCM and others for program management and other purposes. The identification of the person(s) responsible for overseeing M & E, the budget for M & E activities and a description of what M & E activities and processes are already in place. 68 Global Fund Project • A selection of key indicators for each main objective. These indicators should be specific, measurable, achievable, relevant and time-bound (SMART). The plan will show the baseline data where possible, planned results/targets, source of data, frequency of data collection and the person responsible for measuring each indicator. This information is generally demonstrated as part of a chart. The Global Fund has developed a template which may be used for this purpose. If baseline data do not exist, baseline surveys should be carried out as part of the initial activities of the program. The PR is encouraged to seek assistance from development partners to establish the baseline at the beginning of the program. 9.3. Goals and Objectives of the Mauritius National HIV/AIDS M&E The purpose of M&E is to provide the data needed to: 1) guide the planning, coordination, and implementation of the HIV response; 2) assess the effectiveness of the HIV response; and 3) identify areas for program improvement. In addition, M&E data are needed to ensure accountability to those infected or affected by HIV and AIDS, as well as to those providing financial resources for the HIV response. The overriding objective of the M & E system is to ensure that the right policy decisions are taken for which three types of data are crucial. These refer to the (i) overall indicators of the impact of the various HIV/AIDS related activities, (ii) qualitative data of the socio economic status of the clients and, (iii) the quantitative implementation data on the activities of the various operators on the HIV/AIDS scene. The objective of the M&E is also to develop capacity to monitor and evaluate the implementation of activities carried out under the national multi-sectoral AIDS program. 9.4. The National M&E Framework for GFR8 The GFATM primarily utilizes existing M&E systems and indicators of the PR. Thus, considering the GFR8 HIV Project performance indicators and grant Project management requirements, sections below discusses the GFR8 M&E framework which maximizes the existing M&E system within SRs. The National M&E Framework, 2009-2013, and the Operational Manual contain the objectives, indicators, definitions of numerators and denominators, data sources, approaches for data collection methods, data analysis methods, frequency of data collection and assigned responsibilities for monitoring the HIV multi-sectoral response. The indicators in the Performance Framework in Table 11 below are part of the national core indicator set in the Operational Manual of the National M&E Framework, 2009-2013. The Table contains the goal, objectives, targets and indicator names and definitions of impact, outcome and output indicators. The targets for Years 3 and 5 at impact and outcome levels will be set after the completion of surveys to be conducted in Year 1. At the output level targets have been set for the first two years of the grant as they will be revised after the second year of implementation of the grant in Phase 2. 69 Global Fund Project Table 11: Goal, objectives, impact, outcome and input indicators and targets Goals: 1. 2. Indicator name Round 8 Performance Framework Reduce the rate of new HIV infections among the most at risk population (IDUs, CSW, MSM, prisoners, Rodriguan migrants, street kids), by preventing MTCT and in the general population Provide comprehensive care to PLWAs by increasing ARV treatment, PMTCT, PLWHA support groups, nutrition and economic empowerment Indicator definition Denominator Numerator Indicator Baseline Reference to National M&E Framewor k (page no Year Data source Year 1 Year 2 Year 3 Year 4 Year 5 Impact Indicators Number of antenatal clinic % of young women and attendees (aged 15–24 years) men aged 15-24 who are tested for their HIV infection HIV infected status. % of most-at-risk populations (IDU, CSWs, Number of members of the prison inmates, MSM, most-at-risk population group Rodriguan migrants, tested for HIV street kids, ) who are HIV infected Total number of adults and children who initiated antiretroviral therapy who were expected to achieve 12-month % of adults and children outcomes within the reporting with HIV known to be on period, including those who treatment 12 months have died since starting after initiation of antiretroviral therapy, those antiretroviral therapy who have stopped antiretroviral therapy and those recorded as lost to follow-up at month 12 Number of antenatal clinic attendees (aged 15–24 years) Page 27 tested whose HIV test results are positive. 0.35% Number of members of the mostat-risk population group who test Page 29 positive for HIV n/a To be set after BSS Number of adults and children who are still alive and on Page 30 antiretroviral therapy at 12 months after initiating treatment Adults> 15 years: 84.6% (men 83.5%) (women 90%) Children < 15 yrsnone on ARV % of infants born to HIV infected mothers who are Number of infants born to HIV Number of HIV infected infants infected infected mothers born to HIV infected mothers Page 31 n/a To be determined in Yr 1 using 2007 cohort 2007 2006 Specific surveys and research (ANC SS) 86% (men) 92% ART Register (women) 100% (children) 0.35% 0.35% Target to be set after BSS in Yr 1 Target to be set after BSS in Yr 1 92% (men) 94% (women) 100% (children) 96% (men) 98% (women) 100% (children To be set after cohort analysis in Yr 1 To be set after cohort analysis in Yr 1 70 Global Fund Project Outcome indicators Indicator name Indicator definition Indicator Baseline Year Reference to National Denominator Numerator M&E Framework (page no) % of injecting drug users Number of respondents who Number of respondents who report p.32 32.0% reporting the use of sterile report injecting drugs in the last using sterile injecting equipment ( to be 2004 injecting equipment the last month the last time they revised after time they injected injected drugs BSS in Yr 1) % of injecting drug users Number of respondents who Number of respondents who 13.3% ( to be reporting the use of a report having had sexual reported that a condom was used p.33 revised after 2004 condom the last time they intercourse in the last month the last time they had sex BSS in Yr 1) had sexual intercourse % of female sex workers Number of respondents who Number of respondents who 100% ( to be reporting the use of a reported having commercial sex reported that a condom was used p.39 revised after 2004 condom with their most in the last 12 months with their last client in the BSS in Yr 1) recent client last 12 months % of men reporting the use Number of respondents who Number of respondents who of condom the last time reported having had anal sex reported that a condom was used 52.2% ( to be they had anal sex with a with a male partner in the last the last time they had anal p.38 revised after 2004 male partner six months sex BSS in Yr 1) % of women and men, aged 15-49 yrs, who have had more than one sexual partner in the past 12 months reporting the use of a condom at their last sexual intercourse. Number of respondents aged 15–24 years who reported having had more than one sexual partner in the last 12 months % of women and men aged 15-49 expressing accepting attitudes towards people with HIV % of youth aged 15-24 yrs who had an HIV test within the past 12 months All respondents aged 15–49 years who have heard of HIV Number of respondents aged 15– 24 years who reported having had more than one sexual partner in the last 12 months who also reported that a condom was used the last time they had sex Number of women and men aged 15–49 years who report accepting attitudes towards people living with HIV Number of all respondents aged Number of respondents aged 15– 15 – 24 years 24 years who report having an HIV test within the past 12 months p.37 44.2% ( to be revised after 2004 BSS in Yr 1) p.40 n/a ( to be set after BSS n/a in Yr 1) p.53 Male-11%; 2008 Female-12% Data source Year 1 Year 2 Year 3 Year 4 Year 5 Target for Yr 3 to be set after BSS in Yr 1 Target for Yr 3 to be set after BSS in Yr 1 Target for Yr 3 to be set after BSS in Yr 1 Target for Yr 3 to be set after BSS in Yr 1 Target for Yr 5 to be set after BSS in Yr 1 Target for Yr 5 to be set after BSS in Yr 1 BSS (KABB) Target for Yr 3 to be set after BSS in Yr 1 Target for Yr 5 to be set after BSS in Yr 1 Youth KAPB Study Target for Yr 3 to be set after BSS in Yr 1 Male-13%; Female-14% BSS (KABB) BSS (KABB) BSS (KABB) BSS (KABB) Target for Yr 5 to be set after BSS in Yr 1 Target for Yr 5 to be set after BSS in Yr 1 Target for Yr 5 to be set after BSS in Yr 1 Male-17%; Female-18% 71 Global Fund Project Output Indicators Service Delivery Area Indicator name Indicator definition Stigma Number of Village Area reduction in all Councils that have benefited settings from stigma reduction activities BCC - Mass media BCC community outreach and schools BCC community outreach and schools BCC community outreach and schools BCC community outreach and schools BCC community outreach and schools BCC community outreach and schools Number of Village Area Councils reached through any effort to promote change in behavior towards stigma & discrimination of PLWHA Number of mass media Number of mass media campaigns conducted campaigns conducted in the reporting period Number of needles distributed Number of needles distributed to to IDUs in the Needle IDUs in the Needle Exchange Exchange Programme Programme (NEP) Indicator Reference to National M&E Framework (related indicators, page no) Number of male and female IDU receiving Methadone Maintenance Therapy Number of male and female IDU receiving Methadone Maintenance Therapy Number of MARPs (CSW, MSM) reached with HIV prevention programmes Number of MARPs (CSW, MSM) reached with HIV prevention programmes Percentage of MARPs (prison Numerator: Number of prison inmates) reached with HIV inmates reached with HIV prevention programmes prevention programmes Denominator: Number of prison inmates admitted newly to prison in the reporting period Number of MARPs (street Number of MARPs (street children) reached with HIV children) reached with HIV prevention programmes prevention programmes Number of MARPs (Rodriguan Number of MARPs (Rodriguan migrants) reached with HIV migrants) reached with HIV prevention programmes prevention programmes Baseline Year Data source Year 1 Year 2 P1 P2 P3 P4 P5 P6 P7 P8 n/a 0 10 40 80 124 124 124 124 n/a 0 1 2 3 4 5 6 7 p.49 300,000 2008 Administrative records (NEP Register) 0 0 130,000 260,000 474,500 689,000 903,500 1,118,000 p.50 1200 2009 Patient records (National Detox Centre Register) 1,200 1,700 2,200 2,700 3,325 3,950 4,700 5,450 p.43 n/a 300 (CSW) 100 (MSM) 900 (CSW) 300 (MSM) 1600 (CSW) 600 (MSM) 2400 (CSW) 1000 (MSM) 2250 (CSW) 1125 (MSM) 2700 (CSW) 1250 (MSM) 2850 (CSW) 1375 (MSM) 3000 (CSW) 1500 (MSM) p.43 100% 100% 100% 100% 100% 100% 100% 100% 100% n/a 0 50 50 100 100 100 100 100 n/a 0 830 2,075 3,735 5,600 7,470 9,338 11,200 2008 Administrative records (Prison Register) 72 Global Fund Project Service Delivery Area Indicator name BCC community outreach and schools Number of MARPs (mobile populations- migrant workers ) reached with HIV prevention programmes Number of MARPs (mobile populations- migrant workers ) reached with HIV prevention programmes BCC community outreach and schools Number of peer educators trained to provide HIV/AIDS prevention programmes to MARPs (CSW, MSM, prisons, migrant workers, street children/youths) Number of male and female condoms distributed for free Number of peer educators who have been trained to provide a basic package of HIV prevention services to most-at-risk-groups Condoms Testing and Counseling PMTCT STI diagnosis and treatment Antiretroviral treatment (ARV) and monitoring BCC community outreach and schools Number of people who received testing and counseling for HIV and received their test results Number of HIV-infected pregnant women who received antiretroviral drugs to reduce the risk of mother-tochild transmission Number of sites delivering STI services Indicator definition Number of male and female condoms distributed nationwide Indicator Reference to National M&E Framework (related indicators, page no) Year Data source n/a Year 1 Year 2 P1 P2 P3 P4 P5 P6 P7 P8 400 1,200 2,200 3,200 4,400 5,600 6,800 8,000 80 270 415 415 460 460 460 460 n/a p.51 Number of people who have been tested for HIV and received their test results Number of HIV-infected pregnant women who received antiretroviral drugs to reduce the risk of mother-to-child transmission Number of functional sites diagnosing and treating STIs (syndromically or etiologically) Number of adults and children Number of adults and children with advanced HIV infection with advanced HIV infection who receiving antiretroviral therapy are currently receiving antiretroviral therapy in accordance with nationally approved treatment protocol Number of teachers sensitised Number of teachers (secondary) on HIV/AIDS sensitised on HIV transmission and prevention. Baseline 1,081,529 10,083 2007 Administrative records (MoH Quarterly report) 0 0 421,900 843,800 2007 Health Statistics Report 6,575 13,150 19,725 26,300 33,650 41,000 48,350 55,700 1,318,678 1,793,555 2,268,433 2,743,310 p.55 19 2007 Patient Records (PMTCT Register) 13 26 39 52 67 81 95 109 p.54 1 2008 Health Information Report 0 6 6 6 12 18 24 31 p.58 525 2009 Patient records (ART Register) 525 575 675 775 860 945 1,030 1,115 0 179 179 358 358 358 358 358 n/a 73 Global Fund Project Service Delivery Area Indicator name BCC community outreach and schools Number of youths (in-out of school youth) reached with HIV/AIDS prevention education in schools and youth centres/clubs Indicator definition Number of youths (in-out of school youth) reached with HIV/AIDS prevention education (information on HIV transmission and prevention) in schools and youth centres/clubs Indicator Reference to National M&E Framework (related indicators, page no) p.21 Baseline n/a Year Data source Year 1 Year 2 P1 P2 P3 P4 P5 P6 P7 P8 0 2,500 5,000 7,500 10,000 12,500 15,000 17,500 74 Global Fund Project 9.5. Data collection and analysis Data collection approaches for the Round 8 grant will take into account ethical considerations related to patient confidentiality and informed consent and data collection methods will be designed accordingly. The indicators, outlined above in Table 1, will inform and guide the design of the data collection and management processes. Baseline Data Baseline data is unavailable for several impact, outcome and output indicators as programming for HIV/AIDS on a national level is relatively new and data collection processes are not yet fully established. To resolve this issue, the PRs will undertake studies in the first year of implementation. The findings of planned studies, Behavioural Sentinel Surveillance (BSS) surveys and cohort analyses, will be used to provide baseline values and to establish national targets as benchmarks against which outcomes and impact will be assessed in Year 3 and 5. In this way more recent and valid data will be available to measure the performance of the programme over the duration of the grant using the same approach and methods. Routine monitoring data Routine data sources will be used to provide primary data submitted by sub-recipients. Data on interventions to be implemented under Round 8 will be collected using standardised primary and secondary (first level and second level aggregation) data collection tools. With respect to each output indicator that will be routinely reported on, Table 12 summarises data sources, frequency of data collection, period covered by data collection and the institution that will be responsible for collecting the data. Table 12: Output indicators: data source, responsible institution, frequency and data collection period Indicator Data source Number of Village Area Councils that have benefited from stigma reduction activities Number of mass media campaigns conducted Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring Number of needles distributed to IDUs in the Needle Exchange Programme Number of male and female IDU receiving Methadone Maintenance Therapy Number of MARPs (CSW, MSM) reached with HIV prevention programmes Number of MARPs (prison nmates) reached with HIV prevention programmes Number of MARPs (street children) reached with HIV prevention programmes Number of MARPs (Rodriguan migrants) reached with HIV Frequency of data collection Monthly Monthly Monthly Monthly Monthly Monthly Monthly Monthly Period covered Responsible Agency One calendar month One calendar month One calendar month One calendar month One calendar month One calendar month One calendar month One calendar NWCl MFPWA MoH (NEP) National MST Centre MFPWA MoH Prison Services MFPWA MFPWA 75 Global Fund Project Indicator Data source prevention programmes Number of MARPs (mobile populations- migrant workers ) reached with HIV prevention programmes Number of peer educators trained to provide HIV/AIDS prevention programmes to MARPs (CSW, MSM, prisons, migrant workers, street children/youths) Number of male and female condoms distributed for free (Activity Report Form) Programme monitoring (Activity Report Form) Number of people who received testing and counseling for HIV and received their test results Number of HIV-infected pregnant women who received antiretroviral drugs to reduce the risk of motherto-child transmission Number of sites delivering STI services Number of adults and children with advanced HIV infection receiving antiretroviral therapy Number of teachers sensitised on HIV/AIDS Number of youths (in-out of school youth) reached with HIV/AIDS prevention education in schools and youth centres/clubs Frequency of data collection Monthly Period covered month One calendar month Responsible Agency MFPWA Programme monitoring (Activity Report Form) Monthly One calendar month MFPWA Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Monthly One calendar month One calendar month One calendar month MoH/ MFPWA Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Programme monitoring (Activity Report Form) Monthly One calendar month One calendar month One calendar month One calendar month MoH Monthly Monthly Monthly Monthly Monthly MoH NDCCI NDCCI MoE MFPWA MYS 9.6. Data flow NAS The NAS M&E Unit will receive data from its SRs and MFPWA. Hard copies of standardised primary and secondary data collection tools will be used for routine data collection. The NAS will ensure that data remain disaggregated and are retained in this form moving from the local to the national level. Health care workers (HCW) providing HIV/AIDS services will submit hard copies of the monthly Activity Reporting Form paper to the Regional Focal Point. The Regional Focal Point will consolidate, aggregate and summarize data and activities submitted by HCW in their region in a single monthly Regional Activity Form. This form will be submitted to the National Focal Point responsible for specific HIV services, for example, VCT, and MST. The National Focal Points will submit a quarterly Programme Monitoring Report Form to the NAS M&E Unit. The M&E Unit will then complete the Progress Update Disbursement Request (PUDR) for indicators to be reported in consultation with MFPWA. The PUDR will be submitted to the CCM for comments after which it will be finalised and submitted to the LFA. MFPWA 76 Comment [IMF1]: To be reviewed by the GMS NAS team Comment [IMF2]: Same as previous comment Global Fund Project NGO/ CBO implementing sites will submit monthly returns to their Regional/ National Focal Points (SRs) where available. The Focal Points will aggregate, by intervention area, the data and submit monthly and/or quarterly progress updates to MFPWA. The M&E Unit will then complete the Progress Update Disbursement Request (PUDR) for indicators to be reported on by MFPWA and submit this to the NAS M&E Unit during their joint quarterly review meeting. The details of the flow of routine data for both PRs is summarised in the diagram below. Figure 6: Data flow: routine monitoring data Local (in-country): National AIDS Commission Country Coordinating Mechanism Development partners M&E committee for HIV/AIDS NAS Third aggregation level M&E Unit inputs, aggregates & analyses data on core indicators for reporting to GF from quarterly reports NAS & MFPWA Managements Team reviews analysed data and jointly complete PUDR Completed PUDR submitted to CCM Comments of CCM incorporated and finalized PUDR submitted to GFATM (LFA) Second aggregation level Second aggregation level First aggregation level AIDs Unit M&E Focal Point inputs, aggregates data, & prepares quarterly report MOH national Focal Point verifies, consolidates, inputs and aggregates data & prepares monthly report M&E Focal Points (MoW, MoE, and MYS) verifies & prepares quarterly report National Focal Points at MoW, MoE, and MYS verifies, consolidates, input and aggregates data & prepares monthly report Facilities/ sites providing PMTCT / ART, STI, VCT, NEP, MST services submit monthly Activity Report Form on health interventions MFPWA M&E Unit reviews reports analyses data, extracts data on GF indicators, prepares quarterly PUDR National Focal Points at NGOs verifies, consolidates, input and aggregates data & prepares monthly report Regional NGO/ CBO Focal person verifies, aggregates, prepares and consolidates monthly report Regional Focal Points (AEN/ OIC NDCCI / MST, NEP verifies, aggregates, prepares and consolidates monthly report • Primary data collection site External: GFTAM Local Fund Agent Rectors of colleges, youth officers & women centers submit paperbased Activity Report Form on non health interventions • • NGO/ CBO staff implementing IEC interventions eg media campaign/ anti-stigma programmes NGO/ CBO staff implementing prevention services for MARPs eg MSM, CSW /IDU, 77mobile street children, populations, migrants Global Fund Project NGO/CBO health & non health data Non health data from line ministries Health data from public facilities Non routine monitoring data Non-routine data collection Non-routine data collection using a combination of qualitative and quantitative surveys to collect more in-depth and detailed information to inform implementation processes will complement routine data collection. Table 13 summarises for each impact and outcome indicators, data sources, frequency and period covered by data collection and the institution that will be responsible for data collection. Table 13: Impact and outcome indicators: data source, responsible institution, frequency and data collection period Indicator Data source Frequency of data collection Period covered by data collection Responsible coordinating agency Impact % of young women and men aged 15-24 who are HIV infected Antenatal Sentinel Surveillance Annually MOH Integrated BioBehavioural Survey for MARPs Every 2 years Time period in which the survey was under taken Time period in which the survey was under taken Programme monitoring (ART Register) Annually Time period in which the Cohort was followed up NDCCI Programme monitoring (ART Register) Annually Time period in which the Cohort was followed up NDCCI Integrated BioBehavioural Survey for MARPs Every 2 years Time period in which the survey was under taken NAS/MOH Integrated BioBehavioural Survey for MARPs Every 2 years Time period in which the survey was under taken NAS/MOH % of most-at-risk populations (IDU, CSWs, prison inmates, MSM) who are HIV infected % of adults and children with HIV known to be on treatment 12 months after initiation of antiretroviral therapy % of infants born to HIV infected mothers who are infected Outcome % of injecting drug users reporting the use of sterile injecting equipment the last time they injected % of injecting drug users reporting the use of a condom the last time they had NAS/MOH 78 Global Fund Project sexual intercourse % of female sex workers reporting the use of a condom with their most recent client % of men reporting the use of condom the last time they had anal sex with a male partner % of women and men, aged 15-24 yrs, who have had more than one sexual partner in the past 12 months reporting the use of a condom at their last sexual intercourse. % of women and men aged 15-49 expressing accepting attitudes towards people with HIV % of youth aged 1524 yrs who had an HIV test within the past 12 months, Integrated BioBehavioural Survey for MARPs Every 2 years Time period in which the survey was under taken NAS/MOH Integrated BioBehavioural Survey for MARPs Every 2 years Time period in which the survey was under taken NAS/MOH Behavioural Surveillance survey (general population & youths) Every 3 years Time period in which the survey was under taken NAS/MOH Behavioural Surveillance survey (general population & youths) Behavioural Surveillance survey (general population & youths) Every 3 years Time period in which the survey was under taken NAS/MOH Every 3 years Time period in which the survey was under taken NAS/MOH Qualitative assessment of service delivery and implementation processes Qualitative data will be collected to provide a better understanding and appreciation of the processes involved in project implementation. This information will be used to substantiate and interpret observed trends to inform decision-making and adjustments to strategies. Using focussed qualitative assessments information will be collected on the perception of service providers and beneficiaries with regard to the performance of HIV/AIDS services; and, for service providers, processes such as the quality of training and supervision. 9.7. Data management Health facilities will extract data from standardised primary data collection tools (registers) onto a monthly Activity Reporting Form. The Regional Focal Point will consolidate, aggregate and summarize data and activities submitted by health facilities in their region in a single monthly Regional Activity Form and submit this to National Focal Points for specific service delivery areas. National Focal points will input data received from Regional Focal Points into a monthly Activity Report electronic form using an ACCESS database. The data will be aggregated monthly and quarterly for all regions according to specific service delivery areas, for example, Testing and Counselling. Quarterly returns from National Focal points of SRs under NAS that are implementing health and non health related interventions will submit quarterly Activity Monitoring Forms to the NAS M&E Unit. 79 Global Fund Project The NAS is planning to set up a decentralised computerized information system in the form of electronic data file that can be easily transferred to and incorporated into regional and national level databases. In the subsequent section further details will be provided on how data would be managed in the M&E Units of the NAS and MFPWA. NAS M&E Unit • The NAS M&E Unit will set up a system to track timeliness and completeness of reporting. Deadlines for reporting will be set for SRs. Timeliness of reporting will be tracked as follows: The M&E Coordinator assisted by the M&E Officer will be responsible for sending TWO (2) reminders BEFORE the deadline for reporting on the 5th of the following month. The M&E Coordinator assisted by the M&E Officer will receive all quarterly Programme Monitoring Report Form reports sent to the NAS. The M&E Coordinator assisted by the M&E Officer will be responsible for following up on late reports where logistic problems are identified. He / She will liaise with SRs to determine how to facilitate the receipt of the reports If the forms are submitted electronically, the M&E Coordinator assisted by the M&E Officer will follow up with the implementing institution to ensure that a signed copy is sent to the NAS. The system will be set up to minimise manipulation of data in the database by ensuring that data entry can only be done at the implementing site. After receiving reports these will be sent to the M&E Assistant and the following entered into log book with the following headings: Date when report received: Name of Sub – Recipient: Name of staff member who received the forms: On a monthly basis the proportion of SRs that reported before or on the deadline will be reported. For completeness of reporting the proportion of implementing sites that submitted reports out of the total number of implementing sites that should have reported in the reporting period for each service/ intervention area will be determined. A list of the number of implementing sites for each intervention / service area will be maintained and regularly updated by the NAS M&E Unit. The NAS M&E Team will review submitted monthly and quarterly progress reports received from SRs for completeness, errors and/or inconsistencies and corrective measures will be taken in line with documented data management procedures as explained below. 80 Global Fund Project The M&E Officer will check all submitted forms to see if: i) all sections are completed (completeness); and, ii) there are any errors or inconsistencies e. g. arithmetical mistakes, numbers that do not make sense, blotting over with ink, unreadable handwriting etc (correctness) If there is incomplete reporting or error and inconsistencies then the following process will be followed: 1. documentation of incomplete reporting, errors and inconsistencies in a log book and the individual who signed the form in the implementing facility will be contacted. 2. The problem will be discussed with the individual and any reported changes noted on the side of the form. 3. Before data entry the corrected form will be returned to the institution so that the person responsible for filling out the form can verify the changes made and sign the relevant section. 4. Where forms with problems cannot be returned immediately to the reporting institution for signature, the data will be entered and the M&E Officer will ensure that the form is returned as soon as possible to the individual who signed it, for verification before the next due report. The corrected page can be faxed to the NAS and this can be attached to the affected form. At the level of the NAS, an ACCESS database has been installed and is currently being piloted. The database will be linked to CRIS 3. The data will be entered into the ACCESS database and post data verification will be conducted following data entry as described below. 1. Each form will be entered by the M&E Assistant responsible for the initial entry. 2. The M&E Officer and M&E Assistant will review the forms. One person will review the hard copy of the form whilst the other simultaneously reviews the data entered in the database. 3. Immediately after data entry and verification (stages1 – 3 above), the M&E Officer will take a full database backup. 4. A copy of the back up database should be kept OFF SITE along with other NAS data. Data analysis to be conducted at regional and national levels will consist of a comparison between planned targets versus actual achievements for specific services, for example, the uptake of ART. At the level of the PRs, each indicator to be reported upon will be analysed comparing planned targets with actual achievements for the reporting period including an analysis of any variance observed. Specifically this will consist of: 1. A comparison of actual versus target for the reporting quarter 2. A comparison of the reporting quarter with previous quarters with respect to: • Absolute achievements • Percentage of target met 81 Global Fund Project The NAS and MFPWA Programme Management Teams will jointly undertake this analysis of programmatic performance over the reporting period. Further analysis will be disaggregated by SR to better track performance and identify localized issues. More detailed statistical analysis will be conducted using EPI Info or SPSS to explore emerging and observed trends. The Teams will use the findings of the analyses to jointly complete the quarterly Progress Update/Disbursement Request (PUDR). A manual archiving system will be developed to store reports received from implementing sites, data audits and the findings of special studies. After data entry hard copies of all forms will be filed according to the month for the quarter in that reporting period. The files will be kept in the office of the M&E Assistant. Other files that may contain sensitive information will be kept in the office of the M&E Specialist. The diagram below outline roles and responsibilities for data management within the NAS M&E Team Organisation chart for data management within the NAS M&E Unit NAS Grants Manager Reviews reports submitted by M&E Unit Coordinates use of information for decision-making by management Submits finalised PUDR (Progress Update/Disbursement Request) to CCM / LFA • • • M&E Expert (Technical Assistance) • • • • Coordinates analysis & interpretation of results Drafts M&E report for discussion with programme team Assists Programme Manager to finalise PUDR report Conducts data audits and quality assessments M&E Coordinator • • • • Assist M&E Expert to analyse and interpret M&E findings Assist M&E Expert to draft M&E reports including PUDR Supervises M&E Officer Conducts data audits &quality assessment M&E Officer • • • • • • Follow up with SRs for timely reporting Reviews reports submitted by SRs for completeness and errors Follow up on queries Conduct initial analysis of data Conducts data audits Supervises M&E Assistant M&E Assistant • • • Maintain log book Enter data (post entry data verification) Store and maintain filing system for reports 82 Global Fund Project MFPWA M&E Unit The MFPWA M&E Unit will maintain and update a list of all implementing sites broken down by intervention focus. The NAS M&E Unit will assist MFPWA to set up a computerised-based information system using ACCESS. A similar system as described above will be used to track timeliness, completeness of reporting and data entry procedures. The M&E Unit will develop a data management procedural manual. Monthly reports submitted by SRs will be reviewed for inaccuracies and completeness and remedial action will be taken if necessary in line with documented data management procedures. Data extracted from hard copies of monthly returns submitted by SRs will be entered, using post data verification, into an ACCESS database for each service/ intervention area. The data will be aggregated monthly and quarterly. The Unit will retrieve data from the database to conduct preliminary analyses. Data analysis will be conducted as described above comparing planned targets versus actual achievements monthly and quarterly and a detailed review of underlying reasons for observed variances. A quarterly consolidated progress report will be generated and discussed with the NAS Programme Management Team in the joint review meeting prior to completing of the Progress Update/Disbursement Request (PUDR). A manual archiving system, as describe above for the NAS, will be developed to store hard copies of reports submitted by sub-recipients. Organisational chart for data management within MFPWA M&E Unit MFPWA Grants Manager Reviews reports submitted by M&E Unit Coordinates use of information for decision-making by management Submits finalised PUDR (Progress Update/Disbursement Request) to CCM / LFA • • • M&E Expert (Technical Assistance) Coordinates analysis & interpretation of results Drafts M&E report for discussion with programme team Assists Programme Manager to finalise PUDR report Conducts data audits and quality assessments • • • • M&E Officer • • • • • Compile & aggregate data from SRs Analyse M&E findings, interprets results & explain variances Drafts M&E report for discussion with programme team Submit draft quarterly PUDR (MFPWA portion) to NAS M&E Unit Conduct data audits M&E Assistant • Reviews reports submitted by SRs for completeness and errors • • • • • • Follow up with SRs for timely reporting Reviews reports submitted by SRs for completeness and errors Follow up on queries Maintain log book Enter data (post entry data verification) Store and maintain filing system for reports 83 Global Fund Project 9.8. Data reporting The process for reporting on monitoring data is as follows • • • • • • • • The NAS and MFPWA M&E Units will set deadlines for reporting (Table 14). The M&E Units of both PRs will work with their respective SRs to report on indicators in the Performance Framework. The data collected from each SR will be compiled and aggregated for each indicator and reported monthly and quarterly to regional and national Focal points. National Focal points will submit the quarterly Programme Monitoring Report Form to the NAS. The NAS and MFPWA Programme Management Teams will complete the PUDR and submit it to the CCM for review for comments. The NAS will incorporate comments received from the CCM into the PUDR and submit the finalized PUDR to the LFA. The Programme Managers of the two PRs will provide feedback to their respective sub-recipients. The NAS will organise six monthly and annual meetings to review performance reporting on outcome and output indicators based on information gathered from routine programme monitoring. Table 14: Time Line For Reporting Activity Submit Activity report Report to be submitted by: Audience Implementing site Submit monthly report SRs Submit quarterly Programme Monitoring Report Form Finalise GFTAM PUDR SRs Submit final GFTAM PUDR NAS M&E Unit NAS M& E Unit Deadline Report submitted to: 5th of the following month 10th day of the following month 10th day of the following month 15 days after the end of the quarter 30 days after end of quarter SR Office NAS & MFWA M&E Units NAS & MFWA M&E Units CCM Local Fund Agent 9.9. Information products In addition to information products outlined in the National M&E Framework data. Information products that will be generated as part of the implementation of this grant to be shared with interested stakeholders are: 84 Global Fund Project • • • • • • • Quarterly NAS & MFPWA monitoring reports Quarterly GFATM Progress Update/Disbursement Request Quarterly GFATM narrative report Data audit summary reports Data quality assessment report Annual M&E report Annual institutional reports for NAS and MFPWA 9.10. Data quality The National M&E Framework emphasises the importance of ensuring the validity and reliability of reported data. In line with this, the M&E Units of both PRs will set up and implement a system for data verification/ audit to check that data received from implementing sites (primary data) and regional offices (first level aggregation points) are accurately recorded and aggregated as documented in reports submitted to the NAS. The PRs will conduct biennial data audits of SRs and institutions implementing HIV activities under Round 8 based on a confidential schedule. Aside from this the M&E Unit will make provision to conduct an urgent data audit of any implementing unit outside of the confidential schedule on the basis of urgent concerns emanating from submitted reports. Specifically the purpose of the data verification/ audit system will be to: • • • • To ensure increased credibility and validity of primary data provided by subrecipients. To ensure that accurate data reporting is done To ensure that summation of data (i.e. the way that it is aggregated before capturing it onto the monthly form), is done in an accurate way. To highlight weaknesses in the institution’s routine monitoring system and suggest improvements in daily registers or other sets of data collection tools used by the institution. The process for carrying out a data verification/ audit exercise is as follows: • • • • • Step 1 The M&E Unit will draw up a comprehensive list of sites where SRs are implementing HIV activities. This list will be periodically upgraded as new sites are opened. The period to be audited will be selected in consultation with the programme management teams of NAS and MFPWA. Copies of the actual quarterly returns for the designated period will be obtained from the archives of the NAS & MFPWA M&E Units. The institutions to be data audited will be selected randomly from the list of implementing sites. Appointments will be made to visit the institutions. They will be informed of the proposed data audit just before it occurs to ensure that staff are available. A standardized tool will be used for data extraction from primary data collection tools. 85 Global Fund Project When visiting the institution, the following steps will be taken: • Step 2: The data registers, or other individual data collection tools that the organisation used for daily / weekly capture of information will be requested. This is the data used by the institution to prepare monthly summary data captured onto the monthly Activity Report Form. Step 3: • For each service/ intervention area eg VCT, the standardised data extraction tool will be used to extract data for subsequent tallying. The individual data sets on services provided to people in primary data collection tools (individual registers or other data collection tools) will be audited by checking whether the sum of the individual entries adds up to the total monthly summaries that have been provided. Step 4 • The verified reported numbers at facility level recorded monthly will be compared to recorded data on the quarterly Activity Report Form submitted to Regional and from Regional to National levels to see if the data has been aggregated correctly, that is, whether the data on the quarterly Activity Report Form submitted by SRs, is equal to the sum of the individual data entries on the monthly Activity Report Form for the period being auditing. Step 5 • The way in which data has been archived (i.e. on computer, in files, in a drawer, etc) will be checked to see if this is done in an appropriate manner, as this would imply that the data is available readily and in an organised way for use by the organisation. Step 6 • Following the completion of these tasks, an individual data audit report will be prepared and shared with the Programme Management Teams of both PRs. A manual will be developed that will contain details of the data audit system summarised above and tools to conduct the audit. The staff in both M&E Units of the PRs will be trained on the use of the manual and tools. The M&E Units of the PRs will work with Monitoring “Focal Points” in the implementing institutions so that s/he can follow up on recommendations made following audits to strengthen the quality of data collected and reported within their respective units. Periodically the NAS M&E Unit will conduct a more comprehensive data quality assessments to review processes such as the quality of training of data collectors; use of operational definitions for indicators; and adherence to documented data management procedures. 9.11. Capacity strengthening The capacity of the sub-recipients to undertake monitoring activities for the implementation of the National M&E Framework and this annex is limited. Although M&E training was recently conducted, the need to strengthen capacity has been recognised by both the NAS and the MFPWA as a key function of their M&E Units. In 86 Global Fund Project order to define a more responsive capacity building program for the sub-recipients, the M&E Units will conduct an assessment of the monitoring capacities of subrecipients. The findings of this assessment will be used to inform the development and implementation of a training programme designed to address existing gaps to improve the quality of data collection and monitoring of implemented activities. Skills will be built in several areas that include use of data collection tools including operational definitions; basic M&E concepts, data analysis; data quality concepts and conduct of data audits. As part of the capacity building process mechanisms will be created for the critical appraisal of data by implementers to learn from achievements and failures to improve the quality of the implementation process. Six monthly and annual meetings convened and facilitated by the NAS M&E Unit will provide opportunities to review positive and negative factors influencing implementation, to identify lessons learnt and to use the implications of these findings for improved programming. Subrecipient project managers and monitoring focal points will be identified to attend these meetings. 9.12. Evaluation and research Several operational studies and evaluations are planned to inform and guide programme activities. The NAS will coordinate external consultants to undertake these studies that include: • • • • • • • • • Integrated bio-behavioural study for MARPS Behavioural Sentinel Surveillance (general population & youths) ART survival study PMTCT Cohort study Evaluation of care & support provided for PLWHA Evaluation of the National MST programme Assessment of quality of processes such as training, and supervision Assessment of quality of services provided to beneficiaries for health and non health interventions. End of project evaluation 9.13. Coordination of M&E activities The NAS is mandated to coordinate M&E activities for the HIV multi-sectoral response in the country in line with the principle of the Three Ones. The NAS M&E Unit will coordinate the implementation of the National M&E Framework including this annex to the National Plan. Specifically, for the implementation of the Round 8 grant coordination will involve: 1. convening quarterly meetings with MFPWA, the second PR. The purpose of the meeting is to review data submitted by all SRs to assess progress with reaching targets set for the reporting period and to analyse and document reasons for any observed variances; 2. compiling and submission of quarterly consolidated Progress Update Disbursement Request (PUDR) to the CCM; and, 3. convening six monthly and annual meetings with MFPWA, SRs and technical partners to reflect on monitoring findings for programmatic adjustments. 87 Global Fund Project To facilitate effective coordination, the following organisational roles and responsibilities of stakeholders involved in grant implementation (PRs, SRs, CCM and the NAC) are described below in the box. STAKEHOLDER OUTLINE OF RESPONSIBILITIES National AIDS Committee (NAC) Make use of the data to monitor and evaluate the overall national response to HIV/AIDS CCM Provide oversight for grant implementation Review PUDR and assess progress National AIDS Secretariat (NAS) M&E Unit Coordinate the implementation of the National HIV/AIDS M&E Framework and annex outlining M&E activities for Round 8. Set up and coordinate overall monitoring system for national response that includes Round 8 interventions Develop uniform data collection tools, approaches and guidelines for collecting monitoring data for use by SRs. Review and approve training proposals submitted by SRs for relevance to grant and content of training topic Supervise SRs in applying data collection system Develop reporting format for reporting by SRs Ensure that SRs submit complete and timely data Assist MFPWA and SRs to set up a database linked to CRIS 3 Coordinate the use of information provided by the M& E Unit to develop recommendations for follow up and to make adjustments to the programme Submit finalised PUDRs to CCM & LFA. Set up & implement a national data auditing system Develop and conduct training of SRs in M&E. MFPWA M&E Unit .Supervise SRs in applying data collection system Set up a database linked to CRIS 3 Work with NAS to develop reporting format for monthly reporting by SRs Ensure that SRs submit complete and timely data Review and approve training proposals submitted by SRs for relevance to grant and content of training topic Draft PUDR for MFPWA interventions Conduct data verification visits Develop and conduct training of SRs in M&E. Sub-recipients of Round 8 grant Ensure quality of data provided by health facilities and implementing units. Take ownership and responsibility for collecting primary data from implementing site. Ensure storage of data at primary level Ensure access of data at primary level to NAS & MFPWA M& E Units 88 Global Fund Project STAKEHOLDER OUTLINE OF RESPONSIBILITIES Complete and submit standardised data monthly monitoring reporting forms to NAS & MFPWA 89 Global Fund Project Chapter 10: Human Resource Policies & Procedures 10.1. Recruitment / Contract Renewal of Project and other Staff Project staff shall consist of newly hired staff as well as NAS staff who shall be seconded to the Project through the PMO Office. Recruitment of the new project staff as well as secondment of staff shall follow existing civil service rules and regulations. The type and number of staff to support the Project shall be reviewed and appropriately modified or adjusted depending on the need, availability of funds, and approval of GFATM (if funded by GFATM). Renewal of the contract of staff shall be based on Performance Evaluation System (PES) ratings based on project guidelines. 10.2. Payment of salaries and other benefits Salary rates including benefits such as travelling allowance, 13th month pay, health insurance premium of the staff shall be set according to the prevailing market rates or to the existing government salary structure. The staff shall be entitled to vacation and sick leave benefits as provided for all employed personnel given Civil Service rules and regulations. 10.3. Honoraria of other Government Staff supporting the project Other personnel from Ministry of Health and the NAS unit who are supporting project implementation in their official capacities shall be entitled to monthly honoraria. Table 15: Monthly Honoraria Name/Position Executive Director Finance Officer Field Officer M & E Officer Accountant Support Staff Place of Assignment NAS / MFPWA NAS / MOH MOH MOH MOH MOH Monthly Rate (Rupees)* 15,000 5,000 5,000 5,000 5,000 5,000 90 Global Fund Project Chapter 11: Termination of Project or Grant 11.1. Grant termination or Suspension BY Global Fund According to the Global Fund Grant Agreement Article 26, the Grant may be terminated under the following circumstances: 11.1.1. At the sole discretion of Global Fund. The Global Fund may terminate or suspend this Agreement in whole or in part, for any reason to be determined in its sole discretion, upon giving the Principal Recipient written notice. Any portion of this Agreement that is not terminated or suspended shall remain in full force and effect. 11.1.2. Procedures upon Termination. Upon full or partial termination or suspension of this Agreement for any reason, including a decision by the Global Fund to discontinue funding after the Phase 1 Ending Date or following the Phase 2 Ending Date, the Principal Recipient shall, among other procedures which may be requested by the Global Fund: 1) immediately return to the Global Fund any Grant funds that have not been expended by the Principal Recipient and Sub-Recipients if so requested by the Global Fund; 2) provide to the Global Fund a final audited financial report of the Program; 3) provide to the Global Fund an inventory of all assets and receivables purchased with Grant funds; and 4) if so requested by the Global Fund, provide a plan (prepared in consultation with the CCM) for the use of all assets and services referred to in subparagraph iii. above (the “Close-out Plan”). The Close-out Plan shall be subject to the final approval of the Global Fund. 11.1.3. Transfer. The Global Fund may, at any time and in its sole discretion, direct that title to goods financed under the Grant be transferred to the Global Fund or to a third party which the Global Fund appoints to receive such goods. 91 Global Fund Project 11.2. Project termination or Suspension by PR or SR A project can be closed for the following reasons: the successful completion of project activities, or termination of activities due to force majeure, breach of contract or for NAS / MFPWA convenience. The procedures for project close-out will vary as follows; 11.2.1. Successful completion of project activities The normal project close-out activities for the Sub-recipient on successful completion of the Project shall include the following: 1) a letter notifying the completion of project immediately upon completion, 2) a final financial report indicating total income and expenses on project activities, value of community and/or implementing partner input into project, and a cheque for the amount of any unspent or NAS / MFPWA unaccounted for project funds within 60 days of completion, and 3) a final report of the project’s activities and achievements within 90 days of project completion. Both PRs have the following project close-out responsibilities: a) it may conduct a final site visit to verify that all Project activities have been carried out as agreed to or amended during the course of the Project b) it may verify that both Project and counter-part funds (as appropriate) accounted for by the Sub-recipient are in agreement with NAS / MFPWA financial records and take appropriate action if they are not in agreement c) it may copy all relevant technical and financial reports, close the Project file and write a summary of project activities and achievements for bi-annual and annual reports. In certain instances, MFPWA will conduct a detailed post-evaluation of a given project, to properly assess if the intended impact has been realized. In this case, the principal responsibility for setting up and financing this work will rest with the PRs. However, in the event that such evaluation is carried out, the Sub-recipient is expected to cooperate with and be involved in the process. The particular procedures for such evaluations will be developed at the time of implementation. The assets, whether immovable or movable, procured using funds obtainable from this contract shall remain the property of PRs and the Sub-recipient will be expected to surrender these to PRs, either at the termination of the contract or at any time during the contract if and when NAS / MFPWA considers that the assets are being misused, neglected or used for anything other than HIV- or AIDS-related activities. NAS / MFPWA may, on application by the Sub-recipient, consider allowing the Subrecipient to retain the assets and use them for HIV/AIDS activities not funded under this Contract. 92 Global Fund Project 11.2.2. Suspension and termination of project activities A project may also be closed in exceptional circumstances when a condition of force majeure arises, or a material breach of contract takes place, or at NAS / MFPWA’s convenience. In such events, activities on the Project can be suspended and/or terminated depending on the severity of the problem, but resumed as quickly and amicably as possible. However, in the worst-case scenario, action will be taken to terminate the project and to take any warranted legal action. 11.2.3. Force Majeure For the purposes of this contract, force majeure is defined as an event which is beyond the reasonable control of either the Principal Recipient or the Sub-recipient, and which makes the performance of the Contract obligations impossible or so impractical as to be considered impossible. This includes, but is not limited to, war, riots, civil disorder, earthquake, fire, explosion, storm, flood or other adverse weather conditions, strikes, lock-outs or other industrial action, or confiscation. Force majeure shall not include: • any event which is caused by the negligence or intentional action of either party or sub-Sub-recipient to the Contract • any event which a diligent party could reasonably have taken into account and avoided or overcome in carrying out the obligations of this Contract. • Insufficiency of funds or failure to make any payment required under this Contract. • force majeure shall not be considered a breach of Contract provided the affected Party has taken all reasonable precautions and due action to avoid and overcome the event. In the event of force majeure, the obligations of the Sub-recipient or NAS/MFPWA are as follows: • The affected party shall notify the other of such event as soon as possible; but not later than 14 days, and similarly give notice when and if normal conditions are restored. • Both NAS/MFPWA and the Sub-recipient shall take all reasonable measures to overcome the event and continue with the implementation of agreed-upon project activities, and to minimize the consequences and costs of the event of force majeure. • No later than 30 days after either party has become unable to fulfill its obligations under the Contract, both PR and the Sub-recipient shall consult with each other to determine appropriate measures to be taken. • If the event causing the force majeure cannot be overcome within 60 days, measures will be taken to suspend and/or terminate the Contract as described below. 93 Global Fund Project 11.2.4. Breach of Contract Breach of contract is defined as any material violation of the obligations set forth in the Contract by either the Sub-recipient or NAS/MFPWA. While a number of potential violations exist which would constitute a breach of contract, the most common incidents would be: • failure, on the part of the Sub-recipient, to implement project activities as agreed to, • mismanagement or misappropriation of project funds on the part of the Subrecipient, or • failure, on the part of NERCHA, to disburse agreed funds with which to carry out Project activities. In the event that one party is in breach of the Contract, the other party may immediately suspend its obligations under the Contract. If the breach can, and is corrected, then activities under the Project can be reviewed again. If the breach is not corrected, or is not done so after 45 days, then actions to suspend and/or terminate the Project shall be taken as indicated below. 11.2.5. Suspension of Activities The following are the actions and obligations of both Sub-recipient and NAS/MFPWA in the event that Project activities are to be suspended: • NAS/MFPWA shall inform the Sub-recipient (or vice versa) of the intention to suspend Project activities, and will provide detailed reasons for the suspension; • at the same time, NAS/MFPWA will request a full accounting of project expenses and project assets at the time of Project suspension, and suspend all future disbursements to the Sub-recipient; • the Sub-recipient shall, within 14 days, inform NAS/MFPWA (or vice versa) of how it intends to rectify the problems, and of the status of project expenses and assets at the time of suspension; and • if the proposed actions are acceptable, NAS/MFPWA shall within 21 days, inform the Sub-recipient (or vice versa) that project activities can be re-started once the reason for suspension is corrected. 94 Global Fund Project 11.2.6. Termination of Activities In the event that project activities have been suspended for reasons of force majeure or breach of contract and if that situation has not changed or been corrected, then Project activities may be terminated in accordance with the following procedures: • NAS/MFPWA will inform the Sub-recipient (or vice versa) of the intention to terminate project activities, and will provide detailed reasons for the termination; • if in agreement, the Sub-recipient shall inform NAS/MFPWA (or vice versa) of its conformity to the termination with 14 days of receipt, and provide a full accounting of project expenses and project assets at the time of termination; • if in disagreement, the Sub-recipient (or NAS/MFPWA) shall seek independent arbitration on the matter according to the terms of the Contract; and • upon termination, all contractual obligations of both parties shall end except those pertaining to financial record keeping, reporting, and reimbursement of unused or unaccounted for funds. Furthermore, NAS/MFPWA shall be responsible for payment for goods, services and reimbursable expenses satisfactorily performed and delivered prior to the effective date of termination, and for reimbursement of any reasonable costs relating to the prompt and orderly termination of the Contract. Efforts to seek independent arbitration shall be conducted independently of termination proceedings. 11.2.7. NAS/MFPWA’s Convenience NAS / MFPWA reserves the right to terminate any contract or activity. If the contract or activity is terminated for NAS/MFPWA’s convenience, then the Subrecipient shall be reimbursed for all reasonable costs that it has accrued to date and those associated with closing down its operations. 95 Global Fund Project Chapter 12: Project Communication All communication – written or electronic - from the SR about the implementation of the grant will be to the Project Management Unit, including progress reports, requests for funds, request for modification, etc. The PMU will ensure that relevant information gets forwarded to the CCM and to the NAS/MFPWA finance unit where necessary. All project reports are to be submitted electronically, that is by email or on flash disk (in addition to 2 hard copies). Contact details: The Programme Management Unit Coordinator XXXX Port Louis 96 ANNEXES Annex 1. Grant Monitoring and Evaluation Plan Template Annex 2. Quarterly Narrative Progress report Annex 3. SR Quarterly Progress Update and Disbursement Request to PR Annex 4. Bank Reconciliation Statement Annex 5. Quarterly Procurement Plan Annex 6. Fixed Assets Inventory Annex 7. PPMU Quarterly Data Quality Feedback Form Annex 8. PR Disbursement Notification and SR Acknowledgment Annex 9 Declaration of Interest Annex 10 PR Progress Update and Disbursement Request to GFATM 1 Annex 1. Grant Monitoring and Evaluation Plan Template Name of SR: ……………………………………………………… Grant Reporting Period: from Q…………………. to Q…………..…………. Name of Project: ………………………………………………………………………………………………………………………… Code: ……………………… Name of SR: Grant agreement number: Main project objective (s), key indicator(s), intended results/targets and arrangements for monitoring Main project objective : Key Indicator(s) Baseline Intended results/Targets Q1 Q2 Q3 data source Frequency of data collection Q4 Objective 1: Objective 2 : Objective 3 : Objective : 4 Objective : 5 Signature 1: Staff Name1: Date: Signature2: Date: -2- Staff Name2: Responsible Annex 2. Quarterly Narrative Progress Report Date of Report: Name of NGO: Project Code: Reporting Period: from................................... to............................... Quarter No. ………………………………. Round………………………. 1. Context and introduction (Maximum ½ page) Briefly describe project purpose and specific objectives Briefly describe any relevant developments related to the context of the project 2. Achievements against planned activities for this quarter (Maximum 2 pages, including table) For each of the project objectives or strategies (e.g. prevention, care and support, training): • Briefly describe the major planned activities and highlights major achievements in this quarter. Describe any indicators for progress and performance from the project document, and if and/or to what extent you achieved your targets. • Add a table to show all achievements versus planned activities. • Refer where needed to the Project Activity Monitoring Format. Project objective/strategy 1: Planned Activities 2. Achievements Problems faced and solutions found - lessons learned (maximum 1 page) Describe any lessons learned from activities and services implemented during the quarter, particularly those that may have implications on your own project or national strategies and guidelines. -3- Grant Operations Manual 4. Proposals for modification to the project (maximum 1 page) Explain and justify suggestions for changes in activities, targets, budgets etc. 5. Any suggestions for the Principal Recipient (maximum 1 page) Identify technical or management assistance needs identified. Make suggestions for trainings/workshops/guidelines. 6. Project Performance and Progress (maximum 1 page) Describe any events or experiences, reported by the community or by staff, which indicate to you a major progress towards the overall objective of the project. Explain why this event or experience contributes to reduced transmission of HIV or improved quality of life of PLWA. (Consider this part of reporting after a period of six months and or a year of implementation) 7. Annexes 1. Project Detailed Financial and Progress Report 2. Work plan for the next quarter 3. Other deliverables or outputs (e.g. research reports, training reports, service guidelines, IEC materials produced, newspaper cuttings, etc.) 4. Next quarter procurement plan 4 Grants Operational Manual - Annexes Annex 3 - QUARTERLY PROGRESS UPDATE AND DISBURSEMENT REQUEST Name of Organisation: Grant Number: Program Start Date: Reporting Period: A. DETAILED TRANSACTION REPORT Transactio n Date Voucher Number Payee Item Description Amount Sub Activity 0.00 TOTAL FOR DETAILED TRANSACTION REPORT -5- Resource Grants Operational Manual - Annexes QUARTERLY PROGRESS UPDATE AND DISBURSEMENT REQUEST GRANT INFORMATION Name of Organisation: Grant Number: Program Start Date: Reporting Period: A. SUB-ACTIVITY REPORT Main Activity Sub Activity Budget this Quarter Actual this quarter TOTALS FOR SUB ACTIVITY REPORT -6- Variance Reason for Variance Cummulative Budget Cummulative Actual Variance (Cummulative) Reason for Variance Grants Operational Manual - Annexes QUARTERLY PROGRESS UPDATE AND DISBURSEMENT REQUEST Name of Organisation: Grant Number: Program Start Date: Reporting Period: 0.00 1/0/1900 0.00 A. TWO QUARTERS FORECAST REPORT Main Activity Forecast for the next two quarters Forecast for the quarter ending Forecast for the quarter ending Sub Activity Original Budget TOTAL FOR Report -7- Forecast Budget Original Budget Forecast Budget Grants Operational Manual - Annexes QUARTERLY PROGRESS UPDATE AND DISBURSEMENT REQUEST Name of Organisation: Grant Number: Program Start Date: Reporting Period: A: SUB-RECIPIENT CASH RECONCILIATION REPORT Amount(E) Amount(E) Cash Balance Brought Forward Cash Received from NAS this quarter* Interest Received from bank deposits ** Amount Available for Use 0.00 0.00 Less: Total Expenditure incurred this quarter*** Cash Balance for the Period 0.00 0.00 Add: B: DISBURSEMENT REQUEST Total forecasted net cash expenditures by the Sub Recipient for the quarter following the quarter covered by this progress report Forecast for following periods: Original Budget Forecast Budget 1. Forecast for quarter ending 0.00 0.00 2. Forecast for quarter ending 0.00 0.00 0.00 0.00 0.00 Cash Balance for current quarter Cash received from NERCHA after the period Add covered by this report or cash in transit Sub-Recipient disbursement request from NERCHA for the quarter immediately following the one covered by this report, plus the additional period(Cash buffer) -8- 0.00 0.00 Grants Operational Manual - Annexes QUARTERLY PROGRESS UPDATE AND DISBURSEMENT REQUEST Grant Number: Program Start Date: Reporting Period: 0 1/0/1900 0 A. CASH REQUEST On behalf of the Sub Recipiet, the undersigned hereby requests the National Emergency Response Council on HIV and AIDS (NERCHA) to disburse funds under the above referenced Grant agreement as follows: Cash Amount Requested from NERCHA (from the disnursement request) Amount requested in words: B. AUTHORISATION The undersigned acknowledges that: (i) all information (programatic, financial, or otherwise) provided in this progress report and disbursement request is complete and accurate; (ii) funds disbursed in accordance with this request shall be deposited in the bank account specified at the end of this sheet unless otherwise specified herein; and (iii) funds disbursed under the Grant Agreement shall be used in accordance with the Grant Agreement; (iv) there is no double-funding for the activities for which funds are being requested Signed on behalf of the Sub Recipient: (signature of authorised Designated Representative) Name: Title: Date and Place: Bank Account details: Account Name: Bank name: Account Number: Branch Number: Branch Code: -9- E0.00 Grants Operational Manual - Annexes Annex 3. Bank Reconciliation Statement Name of SR: …………………………………………………………………………………………………. Name of Project: ………………………………………………………………………………………………….. Code: ……………………………………………. Quarter: from…………………. - ……………………. Reconciliation of account No. as at: Emalangeni Add: Add: Less: Less: Balance as per bank book Cheques issued but not presented Cheque No. Date Cheque No. Date Interest not accounted for Cheques deposited but not credited Bank charges not accounted for Balance as per bank statement Explanation: Bank reconciliation statement is prepared to ensure that the balance shown by our bankbook and the bank pass book (bank statement) tallies. It is done in the following way: 1. It commences with the balance as per the bank statement received from the bank not your General ledger . To this, we add those cheques, we have issued to suppliers etc., but which have not been presented for payment to the bank, by the suppliers. 2. Any interest that might be credited to our bank account by the bank should also be added to our book balance. 3. Cheques which we have deposited in the bank, but which are not yet credited by the bank to our account, have to be deducted from our bank balance. 4. Any bank charges or collection charges, which the bank has deducted from our account, has to be deducted from our bank books also to arrive at the balance, as per the bank statement. Signature 1: Signature 2: Staff Name 1: Staff Name 2: Date: Date: - 10 - Grants Operational Manual - Annexes Annex 4. Quarterly Procurement Plan Name of SR: …………………………………………………………………………………………………. Name of Project: ………………………………………………………………………………………………….. Code: ………………………………………………. Quarter: from…………………. - ……………………. Procurement Plan for Goods (materials, equipment, drugs and supplies) Ref. no. Date when needed Goods description Quantity Required Estimated cost Procurement method Procurement Plan for Services (Individuals, NGOs, Firms) Ref. No. Description of Services Date when needed Duration of service Service Provider (Individual, NGO, Firm) Estimated cost procurement /selection method Procurement Plan for Works (construction, repairs, reconstruction) Ref. No. Date when needed Description of Works Duration Procurement methods: LS – Local Shopping, NB – National Bidding, LB – Local Bidding, DC – Direct Contracting - 11 - Estimated cost Procurement method Grants Operational Manual - Annexes Annex 5. Fixed Assets Inventory Name of SR: …………………………………………………………………………………………………. Name of Project: …………………………… Code: …………… Quarter: from…………. ..……………. Inventory ledger page no.: # Acquisi tion date Description of the items Qty Unit acquisi tion cost Serial # Receiv ed report # Location Remarks Insurance: The above items are insured as required in the Grant Agreement YES / NO. (please circle appropriate response) Signature 1: Staff Name1: Signature2: Date: Date: - 12 - Staff Name2: Grants Operational Manual - Annexes ANNEX 6. PMU Quarterly Data Quality Feedback Forms INSTRUCTIONS: These forms are to be completed by the PMU Project Officers and signed by the PPMU Manager before sending them to the SRs. The purpose of these forms is to provide feedback to the SRs about the quality of the quarterly reports that they have submitted. A: CONTACT INFORMATION A1: Quarter of reporting: FROM (month and year) : TO (month and year) A2: Name of SR (organization name): A3: Name of person who submitted the report: A4: Implementer’s contact details Ph: Fax: Email: Mobile: B: REPORT SUBMISSION INFORMATION B1: Date that report was received by PMU B2: Format in which report was received PAPER ELECTRONIC PAPER AND ELECTRONIC B3: Date that report was reviewed by PMU B4: Report reviewed by (name of PMU officer) C: QUALITY CONTROL OF THE REPORT C1: Has the SR reported on all activities in his/her work plan, even if an activity was not implemented in a particular quarter? YES NO C2: Does the report contain data on the implementation of all activities – i.e. programme monitoring data? YES NO C3: Are the units of data supplied in terms of activity monitoring the same as the units provided in the work plan and for the project-level indicators, for all activities? YES NO C4: Are the data supplied in terms of activities realistic? YES NO C5: Does the report contain data on the finances of all activities – i.e. financial monitoring data? YES NO C6: Is the report approved for capture into the database? – see notes YES NO Notes for section C: • Only answer YES if all activities comply with the quality requirement. Otherwise, state NO • Data to be classified as realistic (see C3) if the SR value is not higher than the project value, or if the value is more or less than 50% of the value for the previous quarter • Report to be rejected for data capture (Question C) if the answers to C1, C3 or C4 is NO - 13 - Grants Operational Manual - Annexes D: AREAS OF IMPROVEMENT FOR NEXT QUARTERLY REPORT SIGNED BY PPMU MANAGER : __________________________________________________ DATE: ____________________________________________ - 14 - NAS Sstamp Grants Operational Manual - Annexes ANNEX 7. PR Disbursement Notification and SR Acknowledgment TO : FROM : FAX / E-MAIL: RE : DATE : Notification of Grant Disbursement (Grant Number: ________, Disbursement Number: ___) In response to your recent request for disbursement of funds under the above referenced grant agreement, we are pleased to inform you that we have now: o o Issued a cheque of E._______________________, or requested the transfer of E.________________ from The NERCHA account at the ___________Bank to the bank account specified in your request. When our bank has completed its internal procedures, the payment will be sent to your account. The length of time this takes depends on the processes of the banks involved. Accordingly, you may expect the funds to arrive in your account within the next ______days, though in some instances, this may take longer. On arrival of the funds, please confirm receipt by completing the Receipt section below and returning this form to us. Thank you. Receipt To be completed by the Sub-Recipient: On behalf of _______________________________________________________________, I hereby confirm that the above grant disbursement was received on ____________________(INSERT DATE). Signed: Date: Name: Title: - 15 - Grants Operational Manual - Annexes ANNEX 9. DECLARATION OF INTEREST Full Name: …………………………………………………………………………………………… CCM : ………………………………………………………………………………………………… Position (Officer, Member, Alternate) : ……………………………………………… Please complete the questionnaire below: if necessary, use a separate sheet for answers. N° 1 QUESTION Do you currently occupy an executive position within an organization which contributes to CCM financing ? If yes, state position and organization. 2 Do you currently occupy a position (salaried or not) within an organization which supplies the CCM with goods or services ? If yes, state position and organization. 3 If any of the following apply, please supply details : 4 5 ANSWER a. Member of Board of Directors or any other senior management position in a non-government, religious or private sector organization that is a Principal Recipient (PR) or Sub Recipient (SR); b. Senior management, director, or appointment to a ministry or government office which is a PR or SR; c. Whole or part-owner of a private company, business or service provider acting as CCM or PR suppliers or seeking to enter into business with the CCM or PR; d. Majority shareholder or controlling interest in a private company, business or service provider acting as CCM or PR suppliers or seeking to enter into business with the CCM or PR; e. Whole or part owner of land or premises currently or potentially occupied by the CCM. Do any of the points in Para. 3 apply to your spouse or any other close relative (grandparent, sibling, offspring, grandchild, first cousins). If yes, please give details. Have you borrowed any monies or equipment belonging to the CCM or PR in the past twelve months ? I declare that to the best of my knowledge the above information is complete and correct. Signature:___________________________________ - 16 - Date:_____________________ Grants Operational Manual - Annexes ANNEX 10. PR PROGRESS UPDATE AND DISBURSEMENT REQUEST TO GFATM - 17 - Grants Operational Manual - Annexes On-going Progress Update and Disbursement Request GENERAL GRANT INFORMATION Country: Disease: Grant Number: Principal Recipient: Program Start Date: Currency: Select PROGRESS UPDATE PERIOD Progress Update - Reporting Period: Progress Update - Period Covered: Progress Update - Number: Cycle: Beginning Date: Select Select Number: End Date: Select Cycle: Beginning Date: Select Select Number: End Date: Select DISBURSEMENT REQUEST PERIOD Disbursement Request - Disbursement Period: Disbursement Request - Period Covered: Disbursement Request - Number: TERMS AND ACRONYMS USED IN THIS PROGRESS UPDATE AND DISBURSEMENT REQUEST HAVE THE MEANING GIVEN TO THEM IN THE GRANT AGREEMENT RELATING TO THE ABOVE GRANT Section 1: Programmatic and Financial Progress Update A. PROGRAM PROGRESS i. Program Objectives Objective No. Objective Description Select Select Select Select Select Select Select Select Select Select Select Select ii. Impact / Outcome Indicators Baseline Impact / Outcome Indicator Description Select Select Select Select Select Select Select Select Select Select Select Select - 18 - Value Year Intended Yearly Targets Actual Reasons for Yearly deviation and any Results other comments Grants Operational Manual - Annexes On-going Progress Update and Disbursement Request PROGRESS UPDATE PERIOD Grant number: Progress Update - Reporting Period: Progress Update - Period Covered: Progress Update - Number: Cycle: Beginning Date: Number: End Date: iii. Service Delivery Areas, Indicators, and Targets Baseline Objective No. Service Delivery Area Indicator Description Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select - 19 - Directly Tied? Level Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Select Value Year Reasons for Intended Actual programmatic Targets Results deviation and any to date to date other comments Grants Operational Manual - Annexes On-going Progress Update and Disbursement Request PROGRESS UPDATE PERIOD Grant number: Progress Update - Reporting Period: Progress Update - Period Covered: Progress Update - Number: Cycle: Beginning Date: Number: End Date: iv. Overall evaluation of performance v. Planned changes in the program, if any. vi. Other program results, success stories, issues or lessons learned B. PR COMMENTS ON THE FULFILLMENT OF CONDITIONS PRECEDENT AND/OR SPECIAL CONDITIONS UNDER GRANT AGREEMENT Conditions Precedent and/or other special conditions Fulfilled ? (Yes/No) Select Select Select Select Select Select Select Select Select Select Select Select - 20 - PR Comments Grants Operational Manual - Annexes On-going Progress Update and Disbursement Request PROGRESS UPDATE PERIOD Grant number: Progress Update - Reporting Period: Progress Update - Period Covered: Progress Update - Number: Cycle: Beginning Date: Number: End Date: C. PROGRAM EXPENDITURES 1. Total actual expenditures vs. budget 1a. PR's total expenditures 1b. Disbursements to sub-recipients 0.00 0.00 0.00 Cumulative Budget through period of Progress Update 0.00 2. Health product expenditures vs. budget 2a. Pharmaceuticals 2b. Health products, commodities and equipment 0.00 0.00 0.00 0.00 All amounts are in: Budget for Reporting Period Actual for Reporting Period Program expenditures were used for the procurement of health products: Variance Reason for Variance Select If yes, information about procurements have been included in the Global Fund's Price Reporting Mechanism: Select - 21 - Actual through period of Progress Update Variance 0.00 0.00 0.00 0.00 Reason for Variance