1. finance
2. accounting and auditing

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
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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
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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
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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
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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.
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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
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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)
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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.
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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
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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
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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.
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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
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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.
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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.
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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.
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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
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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%
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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
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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
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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.
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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.
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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
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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
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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
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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:
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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.
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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
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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.
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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
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Global Fund Project
STAKEHOLDER
OUTLINE OF RESPONSIBILITIES
Complete and submit standardised data monthly monitoring
reporting forms to NAS & MFPWA
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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
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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.
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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.
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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.
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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.
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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