IMPLEMENTATION MANUAL FOR GLOBAL FUND GRANTS SUB- RECIPIENTS
SudanIMPLEMENTATIONMANUAL FOR GLOBALFUND GRANTS SUBRECIPIENTSJuly, 2007
Table of ContentsList of abbreviations Preface .4Contents of the Manual 5Chapter 1 Overview on the Global Fund grants and Global Fund’s Governance atCountry Level . 6Chapter 2 : Selection of Sub-recipientsSub-recipient definition . .9Sub-recipient selection criteria and the process . .10Minimum requirements for sub-recipients . .11Technical Review Panel selection criteria. . . 13Sub-recipients proposal development .14Sub-recipients assessment process . 15Sub-recipients capacity assessment .16After sub-recipients assessment .18Chapter 3: Contracting sub-recipients 20Chapter 4: Sub-recipients agreements .21Chapter 5:Financial management .30Chapter 6:Key Concepts : Additional Safe Guard Policy 332
List of AbbreviationsGFATM The Global Fund to Fight AIDS, Tuberculosis & MalariaUN .The United NationsUNDP United Nations Development ProgrammeLFA Local Fund AgentCOs Country OfficesCCM .Country Coordinating MechanismPR .Principal RecipientSRs Sub-recipientsNGOs Non-Governmental OrganizationsCBOs Community based OrganizationsFBOs Faith Based OrganizationsMDGs Millennium Development GoalsUNGASS UN General Assembly Special session on HIV/AIDSPRS .Poverty Reduction StrategiesSWAps Sector –Wide ApproachesM&E . Monitoring & evaluationTRP .Technical Review PanelCSOs .Civil society OrganizationsCFPs Call for proposals3
PrefaceGlobal Fund to Fight AIDS, Tuberculosis and Malaria (GFATM) was established in 2002as a mechanism for financing response to HIV/AIDS, Tuberculosis and Malaria indeveloping countries.As a partnership between governments, civil society, the private sector and affectedcommunities, the Global Fund represents an innovative approach to internationalhealth financing.The Global Fund's purpose is to attract, manage and disburse resources to fightAIDS, TB and malaria. GFATM does not implement programs directly, it worksthrough contracting a principle recipient the later sub contracts a Sub recipient entity.In many cases, the partners to Global Fund participate in a local CountryCoordinating Mechanisms that provides important technical assistance during thedevelopment of proposals and implementation of programs.UNDP Sudan being the principle recipient developed this Implantation Manual to: Enhance Sub-recipients understanding of Global Fund programmatic andoperation procedure.To maximize partnerships with the civil society in responding to HIV, TB andMalaria through strengthening their capacity to effectively shoulder theresponsibilities of GFATM Sub-recipient4
Contents of the ManualThis manual is divided in 5 chapters covering all topics relevant to GFATM grantsimplementation.Chapter 1: Overview on the Global Fund, Grants and the Global Fund’s Governance atCountry level. . This chapter provides comprehensive information about the GFATM,including its regulations, mechanisms of action and different managerial aspects. Here is acomplete overview on CCMs (Country Coordination Mechanisms) including (among others)their structure, nominations, functions, expected inputs in the grant implementation and thecoordination mechanism between them and the PR.Chapter 2: Selecting sub-recipients. This chapter explains comprehensively all aspectsrelated to the Sub-recipients, including the process of their selection, the selection criteria,the selection process at different levels, their approval and all details related to the subrecipients.Chapter 3: Contracting Sub-recipients. This chapter explains all details regarding subrecipients and other aspects of the legal framework.Chapter 4: Financial Management. This chapter provides information on the financialmanagement and describes financial processes in the Global Fund grants.Chapter 5: Program management and Key concepts. In addition to program managementaspects, this chapter explains some particular aspects of the program such as “AdditionalSafeguards Policy’’5
Chapter 1. Overview of the Global Fund, Grantsand Global Fund’s Governance at CountryLevelThe Global Fund as a financing mechanism operates towards achieving acomprehensive response to AIDS, TB and malaria, funding both prevention andtreatment based on locally determined needs. In response to the call for proposalsthat GF announce; a country coordinating mechanisms (CCM), should preparesproposals.The process for preparing proposal should be done in consultation and consolidationof inputs from different CCM member. CCM is expected to include representationfrom a wide variety of sectors. Specifically: governmental, non-governmental,community-based organizations, academic and educational institutions, people livingwith the diseases (and related patient and consumer groups), private companies,religious and faith-based organizations (FBOs), and in-country multilateral andbilateral development partners. The CCM Guidelines recommend that at least 40percent of the CCM membership be comprised of representation from civil society.Apart from CCMs main role in coordinating the proposal development and nominationof principle recipient; CCM should also oversee and monitor the PR implementationof programmes financed by Global Fund grants. For further information on CCM compositionplease refer to CCM guideline.The following steps describe briefly the Global Fund's country grant-makingand grant-operating process:1. Global Fund Secretariat announces call for proposals.2. CCM prepares proposal based on local needs and financing gaps. As part of theproposal, the CCM nominates one or a few Principal Recipients(PR) e.g. UNDP forSudan3. Global Fund Secretariat reviews proposals to ensure they meet eligibility criteria;forwards all eligible proposals to the Global Fund Technical Review Panel (TRP) forconsideration.4. TRP reviews all eligible proposals.5. Global Fund Board approves grants based on TRP recommendation and availabilityof funds.6. An Internal Appeal Mechanism allows applicants whose proposals were rejected intwo consecutive rounds to appeal the second decision.7. GFATM Secretariat contracts Local Fund Agent (LFA) to assist the Global Fund in itsoversight role during the grants implementation6
8. LFA certifies the financial management and administrative capacity of the nominatedPR(s).9. Once the grant agreement signed; based on request from Global Fund Secretariat,the World Bank, Global Fund Trustee, makes initial disbursement to PR.10. PR should develop detailed annual work plan with potential areas for SRsinvolvement and share with GFATM secretariat for approval.11. PR should call for proposal for SRs call for proposal for SRs activates as perapproved work plan.12. The CCM oversees and monitors progress during implementation.13. SRs should provide programmatic and financial quarterly progress reports to PR asper agreement signed with PR.14. PR submits periodic disbursement requests with updates on programmatic andfinancial progress to the Global Fund trough LFA.15. LFA verifies PR/SRs information submitted.16. SR should submit fiscal year progress report and annual audit of program financialstatements to PR.17. Regular disbursement requests from SRs and program updates continue, with futuredisbursements tied to ongoing progress.Apart from CCM’s main role in coordinating the proposal development andnomination of principle recipient; CCM should also oversee and monitor the PRimplementation of programmes financed by Global Fund grants. For further informationon CCM composition please refer to CCM s/guidelines/Principal RecipientCCMs may choose to nominate more than one PR to be responsible for distinctparts of the proposal. The CCM may also make the PR(s) responsible for anumber of sub-recipients, who will receive funds through their allocated PR forspecific proposal activities. In certain circumstance where Global Fund mandatesextra safe guard policy which limits choices for PR (government institutions cannot be PR under safe guard policy) Currently GFATM implement safe guard policyfor Sudan.The responsibilities of the PR include; but not limited to: Receive and manage the funds from the Global Fund; Make efficient arrangements for contracting and disbursing funds to subrecipient/s; Arrange for procurement and supply management; Report on results and request additional disbursement of funds; Ensure effective monitoring and evaluation; and Support CCM processes by facilitating communication, interactions andsynergies among implementing partners.7
As mentioned above the Principle Recipient is responsible for contracting Subrecipients for implementation of Global Funds grants. Any applicatant will to becomea sub-recipient should follow through the steps below:Process of Call for proposals for applicants:Call forproposalsfrom PR(UNDP)SRs Submitsto PRPR reviewand recommendSRs proposalsApprovedSRscontractedPR & LFAassess SRsAs of today Sudan successful was approved for 4 grants; the table belowsummarizes current grants for Sudan and financial NTYEAR3131TOTALFUNDS 20,682,531 112,553,237 33,240,453 15,410,468PHASE 1FUNDS 7,842,140 29,421,145 14,237,853 6,830,0138
Chapter 2 Selecting Sub-recipientsSub-Recipients Definition:The Grant Agreement defines a Sub-Recipient (“SR”) as an entity to which PR (UNDP)provides funding in order to carry out activities contemplated under the Program. In UNDPterms, a Sub-Recipient is the “implementing entity” or “contractor.”It is important to distinguish between SRs and other entities that provide services in a project.The GFATM has stated that the following should be considered in determining whether anentity is a SR:“A Sub-Recipient is a recipient of grant funds which performs any Programactivities that would otherwise be expected to be directly undertaken by thePrincipal Recipient within the scope of its responsibilities as implementer ofthe Program. This includes entities that the Principal Recipient may engage tofulfill its minimum capacity requirements, which are assessed by the GlobalFund and set out in Global Fund Document “Guidelines for the PrincipalRecipient Assessment” (December 2, 2003).Principal Recipients are not expected to be directly engaged in themanufacture and sale of goods, the establishment and use of mechanisms atan international level to facilitate the procurement of goods (such asmechanisms that would not ordinarily be developed by the Principal Recipientsolely to undertake activities under the grant or grants), or the innovation anddelivery of services that are not directly tied to Program interventions (forexample, a Principal Recipient would not be expected to undertake thedevelopment and implementation of accounting or other financial softwarepackages, but may be expected to undertake the development andimplementation of a training course for medical personnel or supplymanagement chains for program material). Accordingly, entities contracted bythe Principal Recipient to perform these activities (such as manufacturers,procurement agents for certain tasks, and certain service providers) shouldnot be treated as Sub-Recipients.This definition is intended as a guideline only. We note that the decision onwhether to treat a contractor as a Sub-recipient or Sub-contractor under thisdefinition will often be unclear. In cases which do not clearly fit within thedefinition, UNDP and the Global Fund will consult to reach a commonunderstanding with respect to the particular case in hand.”The PR assumes responsibility to: conduct appropriate assessments to ensure that sub-recipients have the required minimumcapacities to successfully assume their implementation responsibilities; and Monitor sub-recipient performance throughout program implementation.9
SRs selection criteria and process :The process used to select the SRs as implementers under a lead PR should be detailed,transparent, and open and documented including the criteria that will be used to select SRs.The principle recipient for the Global Fund (UNDP) invites civil society organizations bothnational and international registered and working in Sudan to submit proposals forimplementation of activities of the Global fund grant(s) via an open ( Refer to annex call forproposal format) For an entity to be sub recipient following must happen: GFATM must approved Country proposal/grant The entity must look out for Request for Proposal (See Annex – RFP – UNDP) Follow the RFP guidelines closely while submitting the Proposal (Also See Annex –Hints for proposal writing)The following describe steps for SRs selection and contracting process:ProcessReview the proposal by technical review panelNotification of initial acceptance of the proposal byUNDPCCM endorses accepted initial accepted OrganizationsJoint Assessment of programmatic and financialsystems of the approved organization/entity by PR andLFAAssessment report submitted to GFATM secretariat byLFAApproval for SRs by GFATMPR notifies organization/entity of their approval statuseither approved or rejected or approved with conditionsApproved SRs negotiation with PR on proposal details(workplan, targets, indicators, and budget) andaddressing the conditionsSigning the agreement between UNDP and theorganizationFirst disbursementImplementation starts on the date of agreement signatureTotal approximate duration of the processLead time/days747202030715155130* There might be some circumstances that may extend the duration of sub-recipientsselection and/or contracting by Principal recipient (for example: a large number ofapplications received, or when the contract amount exceeds USD 100,000 UNDP needs toapprove the contract at UNDP HQ, which takes around 25 days etc)10
Minimum requirements of Sub-recipients:In order to successfully assume quality and timely implementation and accountability forprojects’ proceeds, Sub recipients (SRs) need certain minimum institutional and technicalcapacity requirements before the signing of a Project Cooperation Agreement.Institutional and technical capacity requirements include: Legal status.Management and organizationInfrastructure and information systemsHealth (HIV/AIDS, TB and/or malaria) and cross-functional expertise (finance,procurement, legal, M&E)Before entrance into agreement, a nominated SR should have a detailed work plan andbudget for the intended period of the agreement. The work plan should be an existing planreflecting Global Fund funded activities which may be part of a larger national program.A. Legal status1. The applicant SR should be a currently legally registered organization with HAC orother relevant governmental bodies.2. The applicant SR should have the necessary authority to enter into the projectcooperation agreement.3. The applicant SR should have a memorandum of understanding (MOU) with therelevant national program regarding coming planned activities.B. Management and Organization1. The applicant (potential) SR should preferably have a good track record for timelyand results based implementation of project activities.2. If the applicant SR is a civil society organization, it should have a board that meetsregularly and has statutes for its function.3. The applicant SR should have sufficient management capacity (quality and quantity)to implement the proposed program.4. The applicant SR is preferably required to have a clear organizational leadership withclear accountability system to implement the proposed project.5. The applicant SR should coordinate and participate in/seek advice from the relevantnational program and technical committees related to the project.6. The applicant SR has the administrative capacity to forecast, recruit, select, andretain human resources effectively.7. The applicant SR should have written personnel policies and procedures.8. The applicant SR should use or follow annual plans (e.g. work plans, M&E, etc.) aspart of routine management actions, benchmarking, and variance analysis, and sharethese documents internally and with key partners.9. The applicant SR should make available performance reports (e.g. audit reports) forexternal review by stakeholders including the public.10. The key individuals who will be responsible for implementing the program shouldhave written job descriptions that incorporate responsibilities associated with theProject.11
11. The applicant SR should have demonstrated capacity for programmatic management,including any training or other assistance required to implement the project.12. The applicant SR should have a current budget sufficient to support key positions andorganizational functions not related to Global Fund activities. This budget isexpected to remain in place for the duration of the project.13. Able to demonstrate commitment to gender, equity and non discrimination/ principles14. Able to demonstrate the acceptance within the local communities where theintervention is proposed, or a plan to ensure they will obtain local leaders andcommunities support.C. Infrastructure and Information Systems1. The applicant SR should have a functional IT system for internal and externalcommunication.2. The current SR’s information system should have the capacity to collect and provideprogrammatic reports for the proposed activities, including reports to PR.3. The applicant SR should have the ability to work in targeted areas (geographicalcoverage) where proposed field activities will be implemented.4. The applicant SR’s management should meet periodically to review/analyzeperformance and share performance outcomes with internal and externalstakeholders (e.g. CCM, partners, etc.)5. The applicant SR should have internal coordination mechanisms to facilitatecollaboration with other coordination mechanisms or bodies.6. The applicant SR should have adequate physical facilities, office equipment,minimum logistical arrangements, etc. to implement current programsD. Technical Expertise1. The applicant SR should recruit full time (within its organization) personnel with therequired, HIV/AIDS, Malaria or TB expertise necessary to implement the project.2. The applicant SR should have the required, specialized staff in finance and M&Enecessary to implement the project and to recruit other necessary staff (legal etc.)Samples of SR’s activities: Training / workshopsi. Training modules and curricula should the standardized and nationallyendorsed curricula by the relevant program.ii. Targeted audiences and structure will also have the criteria identified by thenational program training modules.iii. Trainers/Facilitators would preferably by provided from the trainers’ pole ofthe program.iv. The training should follow the general standards of any training (i.e. Pre testand post test; Training Attendance Sheet; Certificates; Post Evaluation andFollow up Questionnaire.)v. Ensure that the original of the training report and copies of all certificatesshould be provided to the PR with your quarterly reports, and a copy isretained by your organization. Researchesi. Researchers are requested to contact the national program initially todiscuss their study. This should be made early in order to assurecoordination.12
ii. Only studies on mother proposal and national research priority areas willbe funded by the PR.iii. All research proposals should be
5 Contents of the Manual This manual is divided in 5 chapters covering all topics relevant to GFATM grants implementation. Chapter 1: Overview on the Global Fund, Grants and the Global Fund’s Governance at Country level. . This chapter provides comprehensive information about the GFATM,
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