Sub-Recipient Grant Management Plan. For Implementation of. Global Fund Project. In India. By India HIV/AIDS Alliance Principal Recipient

Transcription

1 SubRecipient Grant Management Plan For Implementation of Global Fund Project In India By India HIV/AIDS Alliance Principal Recipient 1 st Edition October 2010 India HIV/AIDS Alliance Page 1 of 65

2 Contents Grant Implementing Partners... 4 Selection of SubRecipients... 6 Assessment of SubRecipients... 8 Appointment of SubRecipients Coordination and Oversight of SubRecipients General Orientation and Annual Updates for all SRs Coordination Meetings Monitoring and Oversight of Technical Partners (TPs) and SRs a) Monitoring Visits b) Review and approval of financial and programmatic reports c) Review and Replanning Sessions d) Audits CCM s Role in SubRecipient Coordination and Monitoring State Aids Control Society s Role in SubRecipient Coordination SubRecipient s Role in engaging with Partners (NACO and Civil Society Organisation) Disbursement of Funds to SubRecipients First Disbursement Subsequent Disbursement Means and Records of Disbursement Reporting Timelines Communication Points ANNEX ANNEX ANNEX 3 55 India HIV/AIDS Alliance Page 2 of 65

3 Introduction Commencing in October 2010, India will be the recipient of the Global Fund grant under its Round 9 proposal by the India Country Coordinating Mechanism (CCM). The India HIV/AIDS Alliance (Alliance India) will be one of the Principal Recipients for this grant and will be undertaking implementation with a set of partners (or SubRecipients) who will also receive onward grants of funds in accordance with the rules governing such processes set out by the Global Fund in the Grant Agreement. It is anticipated that over time Alliance India may undertake the Principal Recipient role for further Global Fund grants. This Sub Recipient Grant Management Plan outlines: The process for selection, assessment and confirmation of SubRecipients; Procedures for coordination of work and programmatic and financial oversight of SubRecipients; Procedures for disbursement of funds to SubRecipients; Reporting timelines and monitoring framework for SubRecipients. The SubRecipient Grant Management Plan is intended for use by both the staff of the Alliance India Principal Recipient, and the relevant staff of the SubRecipients who are involved with grant management and reporting. The Plan aims to ensure that the subgranting procedures operate effectively and transparently to support grant implementation and performance, and that processes operate in a clearly documented manner. The SubRecipient Grant Management Plan will be reviewed by the Director: Policy and Programmes on at least an annual basis to take account of the experiences in effective grant implementation and to take account of changes in requirements at a Global Fund or national level. It is a responsibility of the Director: Policy and Programmes to submit updates of the SubRecipient Grant Management Plan to the Country Director of Alliance India to signoff prior to implementation. On implementation, the Director: Policy and Programmes is responsible for advising SubRecipients and staff of Alliance India of the changes. In case of an absence of instructions on any procedural issue in this manual, the Country Director at the Principal Recipient (PR) shall make a decision based on the need to ensure the fair, impartial and prompt conduct of the onward granting process in accordance with the principles that underpin such processes. Such a decision shall be formally recorded in writing with a note of the procedure followed. India HIV/AIDS Alliance Page 3 of 65

4 Grant Implementing Partners Alliance India may engage other partners to implement the grant. This may take several forms, notably: Partners who enter into formal agreements to carry out specific program activities referred to as SubRecipients (SRs); Technical partners, who will support the grant implementation by engaging Technical Advisers and coordinating similar capacity building activities on behalf of Alliance India Principal Recipient because of their extensive experience in managing such engagements. Vendors to whom contracts are issued for procurement and supply related services are not considered SRs. SRs can be public sector or nongovernmental entities the last category includes Non Governmental Organisations (NGOs), Community Based Organisations (CBOs), International Public Organisations (IPOs) or private sector entities. Alliance India Principal Recipient will manage the grant implementation, coordination and reporting, which may also play a role in implementation. Alliance India may also involve its different programme units/sections in the implementation. Such sections/units, if involved, will be called Implementing Units and the functions delegated to them may be limited. Nevertheless, they will still play a major role in grant performance, and wellfunctioning. The communication and reporting links between Implementing Units and the Project Management Unit are essential. 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. The following article of the PR s Grant Agreement provides guidance on SubRecipients: Article SUBRECIPIENTS From time to time, the Principal Recipient may, under this Agreement, provide Grant funds to other entities or make direct payments to third parties on behalf of other entities to carry out Program activities SubRecipients ), provided that the Principal Recipient: a. assesses the capacity of each SubRecipient to implement Program activities and report thereon, makes such assessments available to the Global Fund upon request, and selects each SubRecipient based on a positive assessment of that SubRecipient s capacity to carry out the Program activities that are being assigned to it and in a transparent documented manner; b. enters into a Grant Agreement with each SubRecipient 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. Such obligations shall include, but are not limited to, a requirement that the Subrecipient employ all Grant funds solely for Program purposes, and use reasonable efforts to ensure that Grant funds are not employed to support or promote violence, to aid terrorists or terrorist related activity, to conduct moneylaundering activities or to fund organizations known to support terrorism or that are involved in moneylaundering activities; 1 Article 14 in the Standard Form Grant Agreement India HIV/AIDS Alliance Page 4 of 65

5 c. makes a copy of each SubRecipient Grant Agreement available to the Global Fund upon request; and d. maintains and complies with a system to monitor the performance of SubRecipients and assure regular reporting from them in accordance with this Agreement. The Principal Recipient acknowledges and agrees that providing Grant funds to SubRecipients or making payments on behalf of Subrecipients to implement Program activities does not relieve the Principal Recipient of its obligations and liabilities under this Agreement. The Principal Recipient is responsible for the acts and omissions of its SubRecipients in relation to the Programme as if they were the acts and omissions of the Principal Recipient. India HIV/AIDS Alliance Page 5 of 65

6 Selection of SubRecipients The Global Fund stresses transparency for the selection of SubRecipients. Recipient selection will include: The approaches to Sub Calls for expressions of interest/subproposals prior to grant proposal submission; Calls for expressions of interest/subproposals following approval of the grant proposal or grant award; Restricted calls for subproposals following approval of the grant proposal or grant award. The first approach is the preferred one as proposed SubRecipient involvement in grant implementation is taken into consideration during the GF 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 SubRecipients were not identified in the proposal, the CCM should indicate in the proposal 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 SubRecipients might include: technical strength, local organisation, access to impact areas/targeted populations, reliable financial management system, reliable reporting system, and quality resources available (including human resources). While selection of SubRecipients prior to grant proposal submission is preferred, it may still be necessary to select SubRecipients after the grant has commenced for instance, where a previously selected SR has not performed satisfactorily, or is found to have fiduciary issues. While selection of SubRecipients after grant signature is a responsibility of the Principal Recipient, the process should be in accordance with that set down by the CCM. Where the CCM has not decreed the process to cover a specific situation, the Principal Recipient will follow the following process: Expressions of interest may be called for either in open form through advertisement in local media or in restricted form to organisations who can fulfil the required function. The call for expressions of interest will include the implementation requirements sought and the criteria and process by which SubRecipients will be selected. The Director: Policy and Programme will prepare a submission on the proposed approach, including the media to be used and, if restricted call is proposed, the list of entities proposed to be invited. The submission will be submitted for approval by the Country Director and then submitted to the CCM for endorsement. The CCM may propose amendments to the process which the Principal Recipient will consider. (It is recognised that frequently the need for postimplementation selection of SubRecipients occurs under tight time pressure and lengthy delays in resolving process may not be feasible.) Expressions of interest resulting from either open or closed call will be reviewed by a panel constituted for that purpose against the criteria advised in the call. The selection recommendation process will be documented. The panel will consist of the following: Director: Policy and Programmes Director: Finance and Administration CCM nominee; Representative from the Technical Partners India HIV/AIDS Alliance Page 6 of 65

7 The advice of the CCM Executive will be sought as to the CCM representative. Importantly, the CCM representative should not be subject to actual nor perceived conflict of interest with respect to SubRecipient selection. The panel reviewing the expressions of interest shall submit their recommendation for approval to the Country Director at the Principal Recipient Alliance India. Selected organisations need to be formally assessed and appointed as is the normal process for all Sub Recipients (outlined below). In accordance with the principle of transparency, those entities who have applied but not been selected should be so informed and 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. The Director: Policy and Programmes shall submit a report on the outcome of the process to the CCM. India HIV/AIDS Alliance Page 7 of 65

8 Assessment of SubRecipients Following selection of an organisation to be a SubRecipient, either as part of the proposal development process prior to grant award, or following grant approval, the PR must undertake assessment of the nominated SR. This is a significant responsibility of the PR. Given that SRs often implement the majority of the grant activities and are key to 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 Local Fund Agent (LFA) is required to undertake an assessment of the PR s ability to manage SRs using the SubRecipient Management Assessment Tool. 2 The LFA must assess whether the PR meets the Global Fund s minimum capacity requirements in the following areas: Effective systems for undertaking SubRecipient capacity assessments and providing technical support as needed, to ensure that any proposed SubRecipients have the required capacities to implement the program activities Adequate management arrangements that ensure adequate PR monitoring of grant implementation at SubRecipient level facilitating effective and timely program implementation and resource management by SubRecipients. The SubRecipient Management Tool is divided into three sections: i) SubRecipient Selection, ii) iii) SubRecipient Capacity Assessment, and SubRecipient Management and Oversight. The LFA uses the findings of the SubRecipient 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 SubRecipient 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 SubRecipient s capacity to carry out the Program activities that are being assigned to it and in a transparent documented manner; 3 A SubRecipient Assessment Tool as presented in the annexure 1 will be used by Alliance India for finalising the SRs. Additionally, specific tools may be used to assess Monitoring and Evaluation capacity of SubRecipients. The SR assessment focuses on the SRs main internal capacities in organisational management capacity, service delivery capacity, financial management capacity and capacity to monitor and evaluate work. If any SRs will be onward granting to SSRs, then their capacity to manage implementing partners should also be assessed. 2 Recipient_Management_Assessment_Tool.doc 3 Article 14 of the Standard Form Grant Agreement India HIV/AIDS Alliance Page 8 of 65

9 The Director: Policy and Programme is responsible for coordinating assessments using PR staff or external technical assistance with skills as relevant in Programme, Finance, Procurement and Monitoring and Evaluation. As part of the process, the PR can choose to have the SR do a selfassessment to identify strengths, weaknesses, and proposed actions for correcting any identified weaknesses. However an essential part of such assessments should include site visits so that PR staff undertaking the assessment can validate advice provided by the SR. Reference checks should be done with the other major stakeholders, such as other donors, where possible. Information should be sought concerning the proposed SR s track record in implementing and reporting on the required projects. The outcome of the SubRecipient Assessment process must be documented and incorporate information on each of the areas assessed, highlighting strengths and weaknesses of the SR s systems. The summary report will include a recommendation submitted to the Country Director at Alliance India for approval and endorsement. If the assessment results show that the SR has weaknesses that need to be corrected and the PR decides to proceed with the appointment of that SR, a plan for correcting the weaknesses needs to be drafted and agreed upon with the SR, including technical assistance as needed. Where the assessment highlights significant weaknesses in SR capacity and the PR decides not to proceed with appointment of the particular SR, the SR shall be advised in writing by the PR of the decision not to proceed and the areas of weakness identified. The Director: Policy and Programme shall submit a report on the outcome of the assessments to the CCM. This documentation must be retained by the PR and archived for review by the GFATM and the LFA. India HIV/AIDS Alliance Page 9 of 65

10 Appointment of SubRecipients As per Article 14(b) of the Standard Form Grant Agreement (refer page 3 above), should the PR wish to provide Grant funds to another entity, it must first enter into a subgrant agreement with the SR creating obligations of the Subrecipient to the Principal Recipient that are generally equivalent to those of the Principal Recipient under this Agreement. 4. Alliance India Principal Recipient has developed a standard SubRecipient Agreement for use in such cases. This is attached as Annex 2. The parties may agree to use an alternative format for the subrecipient agreement as long as it meets the requirements of article 14 b of the standard form grant agreement. In addition to the terms and conditions of this standard SubRecipient Agreement, the PR may stipulate certain conditions that the SR must fulfil before the first disbursement of funds is made. Unless the PR and the SR agree otherwise in writing, the SR must satisfy the stated conditions, in form and substance satisfactory to the PR, before the PR will authorise disbursement of the relevant funds. Similarly, the PR may state, as part of their agreement with SubRecipients, conditions that should be met by the SR during the implementation of programmatic activities. Unless the PR and the SR agree otherwise in writing, the SR must satisfy the stated conditions, in form and substance satisfactory to the PR. If the conditions have not been met by the date agreed between the PR and the SR, as specified in the Sub Recipient Agreement, the PR, at any time, may terminate the SubRecipient Agreement by written notice to the SR. The PR will promptly notify the SR when the PR has determined that a condition has not been met so that corrective action can be taken to avoid possible termination. A key step in developing the SubRecipient Agreement is finalising the budget, workplan and performance indicators and targets. Of course, these need to be closely tied to the PR s budget, workplan, and performance indicators and targets. The standard SubRecipient Agreement should be periodically reviewed to identify if there are elements that need to be modified. As per Article 14(c) of the standard Grant Agreement, the PR must make a copy of each SubRecipient grant agreement available to the Global Fund upon request 5 Once the SubRecipient Agreement is signed by the PR with the Technical Partners or the SR, the Director; Policy and Programme shall ensure the PMU open a physical file containing the following: a. A signed original of the Project or SubGrant Agreement. b. Original Proposal, budget and work plan. c. All correspondence between SR and PR. It should be noted that, regardless of whether an organisation is considered a SR or Technical Partner, a formal agreement will be entered into between Alliance India Principal Recipient and the relevant organisation covering any funds to be disbursed to them for fulfilling the role of providing technical support and capacity building. 4 Article 14(b) of Standard Form Grant Agreement 5 Article 14(c) of Standard Form Grant Agreement India HIV/AIDS Alliance Page 10 of 65

11 Coordination and Oversight of SubRecipients General The PR s Grant Agreement requires that it: maintains and complies with a system to monitor the performance of SubRecipients and assure regular reporting from them in accordance with this Agreement. 6 A range of mechanisms are used to achieve the required coordination, monitoring and oversight. These include: 1. Orientation and Annual Updates for all SRs 2. Quarterly Coordination Meetings 3. Monitoring and Oversight of Individual SRs, including: a. Monitoring visits. b. Review and approval of financial and programmatic reports. c. Review and Replanning sessions. d. Audits. In addition to these mechanisms, the CCM supports coordination and oversight of SubRecipients as outlined below. Orientation and Annual Updates for all SRs So as to ensure coordination of all SubRecipient activity and to ensure compliance with the Project or Sub Grant Agreement, after signing the Agreement with the SR, the PR facilitates a program orientation meeting for all SRs. This should be repeated on an annual basis so that any new staffs, in either Alliance India or the SRs, are provided with a sound understanding of the full program, Global Fund processes, communication and reporting arrangements and other elements of SubRecipient management. Additionally, the meeting can fulfil the role of an annual refresher workshop and updates on both Global Fund and local processes can be provided at this time. The orientation meeting should cover the following items: a) Clarifying the components of the programme (themes, targets, etc). b) Clarifying the contents and adherence to the SubRecipient Agreement. c) Compliance with local rules and regulations. d) Budget management and adherence to budget lines. e) Clarifying the implementation plan including the roles and responsibilities of the partners and stakeholders. f) Data collection and reporting requirements (programmatic and financial). g) Communication links and contact point person. Given that staff turnover is frequently concentrated at the end and beginning of the calendar year, the annual update meetings should be held in the first quarter of the calendar year. Coordination Meetings Preferably on a biannual basis, Alliance India will convene Coordination Meetings with technical partners and all SRs with a welldefined agenda. These will be used to: Provide all SRs and TPs with an update on the programmatic and financial performance of the grant. 6 Article 14(d) of the Standard Form Grant Agreement India HIV/AIDS Alliance Page 11 of 65

12 Provide the opportunity for the PR, TPs and SRs to share learning on successful grant management and implementation and to identify opportunities for improvement. Provide a forum for discussion on benchmark performance, such as adherence to reporting and grant disbursement timetables. Provide a forum for joint development and enhancement of guidelines and processes. Provide a forum for capacity building by relevant internal and external technical advisers. Communicate requirements and timeframes for contributions to proposal development. Provide a forum for harmonising grant activity with related activities addressing the targeted diseases and health system strengthening. Monitoring and Oversight of Technical Partners (TPs) and SRs Alliance India is responsible to ensure that the implementation of the programme is properly monitored. This is an ongoing process in which the PR looks at inputs and activities. All TP s and SR s activities shall be monitored in relation to their project objectives, quality and expected targets as set forth in their work plan. This shall be achieved through: a. Monitoring visits. b. Review and approval of financial and programmatic reports. c. Review and Replanning sessions. d. Audits. a) Monitoring Visits The Director: Policy and Programmes ensures that monitoring site visits to TPs and SRs are carried out by relevant Alliance India staff. These will include both programmatic including Monitoring and Evaluation and financial site visits. The purpose of the programmatic visits is to ensure that: a. The programmatic activities are implemented in accordance with the approved work plan. b. The project is reaching its planned targets for the period on all performance indicators. c. The project internal documentation is adequate. d. Systems and tools exist for the relevant data to be regularly captured. Financial monitoring site visits to TPs and SRs shall be carried out by the Finance Officer. The purpose of the visits is to ensure that funds are spent: a. In accordance with the approved budget; b. In line with the approved work plan and the expected targets; c. In line with the rules and regulations established by the PR and the GF; d. Proper supporting documentation is kept in the SR s files. Whenever possible, Programmatic and Finance joint visits to TPs and SRs shall take place in order to have a comprehensive view of the implementation of the programme. Reports of such visits shall be documented, signed by the relevant officer and approved by the Director: Policy and Programmes. Any areas of concern that are identified during site visits should be shared with the relevant TP and SR and, if appropriate, a plan and timetable for corrective action established. The Director: Policy and Programmes and the TP or SubRecipient, as relevant shall formally document the corrective action plan and followup on subsequent visits (or otherwise) to ensure the required action has been taken. India HIV/AIDS Alliance Page 12 of 65

13 Visits to TPs and SRs should be an opportunity to identify technical support needs and to mentor relevant staff in programmatic, monitoring and financial issues; this will ensure not only the appropriate implementation of the project but also the strengthening, improvement or development of systems at all levels. b) Review and approval of financial and programmatic reports On a quarterly basis, TPs and SRs shall submit Programmatic and Financial reports (PFR) to the PR, as indicated in the Article 5 of the SubRecipient Agreement. The Agreement specifies that such reports should be provided to the PR within 10 calendar days of the end of the quarter. Such reports should be signed by the responsible executive of the SR and TP who vouches for the accuracy of such reports. The SR and TP will notify one executive officer who would routinely authorise such reports plus one or two alternate officers to sign in case of absence of the primary officer. The TP and SR shall send the PFRs to Alliance India in the template provided by the PR for each SR and TP. The template will reflect the performance monitoring framework relevant to the individual SubRecipient and Technical Partner and therefore be tailored for the specific activities being undertaken by them. The template may be modified from time to time. The PR will then summarise the data collected from all the SRs and TPs and submit a coordinated PU/DR to the LFA. The PR also submits a copy of the PU/DR to the CCM. Reports from SRs and TPs shall be reviewed by the Officer: Grants Management and the M&E Officer and other relevant staff of Alliance India who shall document and submit their reviews to the Director: Policy and Programmes for approval. The reviews within Alliance India should verify: a. The completeness and consistency of the report. b. Achievement of targets, including reasons of failure to meet targets. c. Accuracy of financial and programmatic data. The relevant Alliance India officer (as determined by the Director: Policy and Programmes) shall follow up with the SRs any anomalies found in the review of the reports. The concerned officers will carry out a visit to SRs to verify the information furnished in the PFR. The objective of the visit is to ensure accuracy of the data and make necessary changes before the PR produces the report to Global Fund. c) Review and Replanning Sessions Prior to the end of Phase 1 of the Grant, the CCM will be required to make an Application for Continued Funding. To support the CCM in this task, the PR will organise review and replanning sessions with the SRs which will involve an indepth look at the activities currently implemented, the targets reached, any management issues and challenges during the first 1821 months. It also requires critically reviewing and analysing the workplan already developed for years 35 against the remaining budget and developing annual budgets and workplans for years three, four and five. This review feeds into the Application for Continued Funding and the repeat LFA assessments. Existing SRs and TPs may then apply for continued support from the PR by submitting a proposal at the specified time. Allocation of new funding to TPs and SRs will depend upon the successes achieved under the current Grant Agreement. India HIV/AIDS Alliance Page 13 of 65

14 d) Audits Article 13 of the Standard Form Grant Agreement addresses audit requirements. Specifically, the Principal Recipient shall ensure that annual audits of the revenues and expenditure of each Subrecipient of Grant funds are carried out.(the PR) shall submit to the Global Fund a plan for such Subrecipient audits no later than six months after the start of the Commitment Period and a copy of all completed Subrecipient audits. 7 The audit shall be carried out in accordance with internationally accepted auditing standards, and any other requirements specified by the GF. Specifically, this requires that audits be carried out by independent external auditors registered as such in India. Appointment of any independent auditor by a SR is subject to the approval of the PR as per Article 6.3 of the SubRecipient Agreement. It would be expected that such audit reports would provide a detailed report of any internal control weaknesses. The Subrecipient is required under Article 6 of the SubRecipient Agreement to provide a copy of the independent audit report within 5 months of the period under audit. The Director: Policy and Programme shall ensure that the audit report is reviewed by the Officer: Grants Management or other appropriately trained officer of the PR. The following issues should be considered: Based on the programmatic and financial information received from the SR, are there any concerns about their performance or use of funds? Have consistent problems (organisational, financial and/or programmatic) been identified during the financial year? Based on the initial financial capacity assessment and the identification of capacity gaps or weaknesses of the SR, were areas identified that required improvement? Have conditions made at the time of signature of the Project Agreement been met by the SR? Where audit findings identify capacity building needs, the PR shall discuss the audit findings and recommendations with the SR in order to plan the provision of technical support. The PR shall assist in fulfilling necessary improvements in internal controls and other capacity building needs. Where audit findings identify inappropriate expenditure financed by the PR, the PR shall discuss the audit findings and recommendations with the SR and shall take action, as required, that can include the disallowing of that expenditure using GF funds. Such incidents should be advised immediately to the Local Fund Agent. In arranging for independent audit of Subrecipient accounts, it is not required that a single auditor review all SR accounts. If appropriate, SRs can use the independent auditor who audits their nonglobal Fund accounts. It is essential however that the auditor be independent and thus the Local Fund Agent would not be a suitable auditor. Where the Subrecipient normally uses the LFA for external audit purposes it is only necessary for the Global Fund account to be audited by a different auditor there is no need to change the audit arrangements for nonglobal Fund accounts. Further, it is strongly recommended that there be continuity of auditors so that the auditor develops a sound understanding of the accounting and internal control processes of the Subrecipient and can therefore provide optimal service. The SR is required under Article 6.8 of the SubRecipient Agreement to notify the PR of any special or forensic audit or investigation being undertaken of Global Fund grant funds. 7 Article 13(d) of the Standard Form Grant Agreement. India HIV/AIDS Alliance Page 14 of 65

15 It should be noted that Article 6.6 of the SubRecipient Agreement provides for the Principal Recipient to undertake additional audits or reviews if required: The Principal Recipient reserves the right, on its own or through an agent (utilising Grant funds or other resources available for this purpose) to perform the audits required under this Agreement and/or, to conduct a financial review, forensic audit or evaluation, or to take any other actions that it deems necessary to ensure the accountability of the SubRecipient and Sub subrecipients for Grant funds with at least 15 (fifteen) days written notice to the SubRecipient. 8 CCM s Role in SubRecipient Coordination and Monitoring The PR will regularly report to the CCM to support the CCM s oversight role. As part of that oversight role, the CCM will want to know: Have SubRecipients been identified (if not previously identified), assessed and appointed? Are SubRecipients receiving disbursements in a timely manner? Are SubRecipients implementing activities on schedule? Are SubRecipients reports accurate, complete and submitted on time? Are SubRecipients complying with their contractual obligations? Are SubRecipients receiving supplies on time and of suitable quality? Are SubRecipients receiving the support they require? Should the PR be experiencing difficulties in the subrecipient arrangements which are not being resolved, the CCM will be keen to identify whether further assistance is required so that implementation delays or failure do not occur. If the PR identifies that technical assistance is required to assist overcoming bottlenecks, the CCM may provide support in arranging such assistance, and assessing the outcome of that assistance. Given the CCM s multisectoral composition, it can sometimes play a valuable facilitation role in resolving difficulties that may arise in the PRSR relationship. As well as supporting implementation of the current grant, the CCM will want to gain an understanding of performance of SubRecipients so that, when preparing Applications for Continued Funding and new funding proposals, they have knowledge of both PR and SR strengths and weaknesses. Therefore, while the primary responsibility for SubRecipient coordination and monitoring rests with the PR, the CCM is a valuable partner in ensuring effective subgranting arrangements and grant implementation. Coordination with State Aids Control Society A state level Project Oversight Committee will be formed by every SR as the project enters various states. The committee will be chaired by the representative of SACS usually the Project Director (PD) or who ever is designated by the PD, with representation from SR, TSUs, SSRs, DAPCUs and other development 8 Article 6.6 of Subrecipient Agreement India HIV/AIDS Alliance Page 15 of 65

16 partners. 2 SSRs and 2 DAPCUs would be part of the committee on a rotational basis, if there are more than 2 SSRs in the state. The committee would meet on a quarterly basis and would be updated on the progress of the project. Quarterly progress reports would be shared with the SACS and TSUs. The committee will have to agree on the selection of the sites for CBOs and will support the linkages with SACS TIs. Engaging with other critical Stakeholders (NACO and Civil Society Organisation) There will be two ways where coordination with NACO and civil society organisations will be ensured by PR and SRs: 1. The PR will work with NACO to form Steering Committee for all the Round 9 PRs which will include representation from other stakeholders like DFID, UNDP, UNAIDS, ILO and UNODC. The committee will include representatives from all three PRs and two SRs of each PR on rotation basis. The Committee will be chaired by NACO (and may be cochaired by Secretary, Ministry of Labour). The committee will meet twice in a year and provide policy guidance to the programme. 2. Each SR is also forming State Project Oversight committees at state levels which will include SACS and other civil society organisations at the state level. The committee will meet quarterly with occasional presence of PR as and when necessary. India HIV/AIDS Alliance Page 16 of 65

17 Disbursement of Funds to SubRecipients Once the Principal Recipient has fulfilled to the satisfaction of the Global Fund any conditions prior to disbursement of funds to Subrecipients, including both Special Conditions, and requirements in the Standard Terms and Conditions, funds may be disbursed according to the work plan and budget. The procedures for funds flow from the PR to the SRs are outlined below. First Disbursement The PR shall transfer funds to the SR on the strength of a signed subgrant agreement, the SR Disbursement Request in the format required by the PR, and the work plan. Subsequent Disbursement For the second and subsequent disbursements, the SRs shall submit to the PR, on a quarterly basis, the SR Disbursement Request, which will be checked by the PR and then processed. Disbursements to the SR shall be based on the review and approval of the Programmatic and Financial Report, the project funds balances held by the SR at the end of the reporting period and the forecast received for programmatic implementation for the following period. Each disbursement of funds shall be subject to the availability of funds to the PR for such purpose at the time or the disbursement. Means and Records of Disbursement A Disbursement Records Form shall be completed for any disbursement to the SRs. After a transfer of funds has been made to the organisation a Remittance Advice shall be sent. This serves as a note to the partner on the transfer in terms of: a. Date of transfer. b. Amount transferred. c. To which bank and account number. The Remittance Advice shall be used as a supporting document for the update of remittances to the database, before filing in the SR s corresponding file. The Alliance India Officer: Grants Management is responsible for maintaining such records. All disbursement of funds by the PR will be done by means of cheque deposit or direct bank transfer by the Corporate Finance department, from the Principal Recipient s dedicated Global Fund bank account to the SubRecipient s dedicated Global Fund bank account set up/functioning in accordance with Article 2 of Annex 2 of the SubRecipient Agreement. It is recognised that well functioning funds flow is essential for effective grant implementation. To achieve this requires that all partners in the grant PR, SRs and Implementing Units within Alliance India, submit periodic reports according to the timelines specified below, that reports be accurate and complete with adequate explanation of variances and action to be taken to address variances. Alliance India will seek to support rapid funds disbursement and grant implementation by: 1. Disbursing funds to Subrecipients due for funds in that quarter within seven days of receipt into the dedicated Principal Recipient account; 2. Advising Subrecipients of receipt of funds to India from the Global Fund s trustee so that they may avoid any delay in grant implementation awaiting fund disbursement; 3. Maintaining records of report submission and fund receipt and disbursement and regularly providing such information to implementing partners in a transparent manner. India HIV/AIDS Alliance Page 17 of 65

18 Reporting Timelines Article 15 (b) i of the Grant Agreement between the Global Fund and Alliance India Principal Recipient requires the PR to submit to the GFATM, not later than 45 days after the end of the reporting period, a Program Update and Disbursement Report (PUDR). The report will show programmatic and financial information and also provide the disbursement request if scheduled for that reporting cycle. The PUDR will further report and explain any variance (between planned targets and actual accomplishments and between planned and actual expenditures). The report shall be submitted in the format as shown in the Annex to the Grant Agreement. 9 To ensure that submission of reports meets the required timelines, Alliance India Principal Recipient will follow the timetable outlined below for its Global Fund grants: Agency Report Frequency Due Date All reference to days refers to calendar days. Principal Recipient reporting to GFATM Progress Update DR Disbursement Quarterly Semiannually 45 days after the end of the period Subrecipient reporting to PR Annual Report Annually 6 months after the end of the fiscal year Audit Report Annually 6 months after the end of the fiscal year Enhanced Financial Report Annually 45 days after end of fiscal year PFR in format Quarterly 10 days after the end of the advised by PR quarter Annual Progress Annually 3 months after the end of the Report in format fiscal year advised by PR Audit Report Annually 5 months after the end of the fiscal year The TPs and SRs will be required to comply with the reporting timelines for both financial as well as programmatic issues while ensuring its adequacy and completeness. Any incompleteness, inadequacy and delay in the reporting from TPs and SRs will impact the final reporting to the GFATM which will affect the rating of the programme by the GFATM. This will also delay the release of the grant from the GFATM to the PR and further to all SRs and TPs which in turn may impact the programme outcomes. The PR shall attempt to address the causes of nonadherence to the reporting need and timeline by the SRs and TPs by the means of guidance, and capacity building. However, it will be the sole responsibility of the SR and TP to comply with the reporting need and timeline as communicated to them by the PR. In case of the TPs and SRs consistently demonstrating noncompliance to the reporting timeline and consistent failure to ensure adequacy and completeness of the report on financial as well as programmatic issues, the PR shall review its decision to continue to support such SR and TP for the implementation of the GFATM grant. 9 Article 15(b)i of the Standard Form Grant Agreement. Also reference Article 10(a)vi. India HIV/AIDS Alliance Page 18 of 65

19 Communication Points A key to successful grant implementation involving SubRecipients is ensuring ongoing communication channels are in place in order to have early identification of potential problems. Preferably, communication channels for each component of the relationship between PR and the relevant SR should be identified, defining which position in each organisation should be the contact point for each type of issue, what type of communication should be used, and provide relevant addresses, telephone and addresses. Alternate contact individuals should also be given in case the primary contact officer is absent at the time. At this early stage of the grant implementation, only basic definition of communication lines has been undertaken. However, this will be enhanced with the commencement Alliance India staff and the commencement of subgrant management arrangements. Alliance India will issue a schedule of communication points between the PR and SRs on a quarterly basis with updated names, telephone and addresses relevant for various forms of enquiries. The following provides an initial outline of communication points for the PMU. Type of Incoming Communication from SR to the PR Formal correspondence from SR to Alliance India on SubRecipient Agreement Submission of SR quarterly reports (PFRs), including Disbursement Requests Submission of SR Financial Audits Submission of SR Monitoring and Evaluation Plan Correspondence regarding grant budget management, grant performance and implementation Enquiries regarding financial reports and procedures, budget and other financial matters Enquiries regarding programmatic records, data collection and definition Advice regarding updated contact details of SR officers for Communications Schedule PR Officer to address to Country Director Director Policy and Programmes Director Finance and Administration Director Policy and Programmes Director Policy and Programmes Officer: Grants Management Programme Manager: Monitoring and Evaluation Director Policy and Programme Early communication between PR, and SRs of potential bottlenecks and risks is critical in ensuring risks can be eliminated or mitigated, and in turn, achieving effective and timely grant implementation. India HIV/AIDS Alliance Page 19 of 65

20 ANNEX 1 SR Assessment Tool India HIV/ AIDS Alliance India Round 9 India HIV/AIDS Alliance Page 20 of 65

21 Introduction Subrecipients often play a pivotal role in the implementation of program activities and the management of grant resources. As subcontracted entities they are critical for the timely achievement of grant results. Given the often considerable number of subrecipients under a Grant and the significant proportion of the Grant s budget subrecipients are managing, it is vital that the PR has adequate capacities, resources and systems in place to select appropriate entities, to support them in accessing capacity building, as necessary and to provide effective oversight over subrecipient performance during grant implementation. Purpose This assessment tool is intended to assist PR to determine whether the Subrecipient s Management Capacities correspond with the Global Fund s minimum capacity requirements. The assessment tool is also useful for the PR to determine the range of technical support that may be required by the SR so that the PR can either provide such support directly or assist the SR to access the required support. The tool is also useful to guide areas of SR function where oversight by the PR may be critical to facilitate effective and timely program implementation and resource management by subrecipients. It should be noted that where Implementing Units (IU) of Alliance India are used, a separate SR contractual relationship is not feasible. However Alliance India may use this tool to assist identifying the systems by which the IU will implement and report on the grant activities to ensure that the integrity of grant performance is not compromised. 1 The Finance and Administration Team India HIV/AIDS Alliance Financial Capacity Assessment Tool Financial Capacity Questionnaire Answer Comments Capacity score 1.1 Does the Finance and Administration Team have a clear and well defined organogram? 1.2 Does each member for the Finance and Administration Team have written Job Descriptions? 1.3 Do key members of the Finance and Administration Team have the relevant qualifiactions and/or experience to carry out their tasks? (i.e. Finance Manager, Accountant, etc). 1.4 Are the members of the Finance and Administration Team appraised at least once a year? 1.5 Do all staff members of the organisation have clarity in the role and responsibility of each member of the finance and administrative team? Total Yes Answers 0 Total No Answers 0 2 Internal controls India HIV/AIDS Alliance Page 21 of 65

22 2.1 Does the organisation have written financial and administrative policies and procedures? If NO, questions 24 should be NO as well. 2.2 At minimum, do these policies and procedures include the process for approving expenses and making payments? 2.3 At minimum, do these policies and procedures include a procurement policy? 2.4 Does the procurement policy include a conflict of interest policy? 2.5 Does the organisation have policies and procedures to safeguard cash and assets? 2.6 Do these policies to safeguard cash and assets include an antifraud policy? 2.7 Does the organisation have an updated list of assets? 2.8 Does the register record the condition and location of the assets? 2.9 Are physical assets checked against the register? 2.10 Are the organisations assets adequately insured? 2.11 Are the insurance policies reviewed and updated regularly? If YES, how often? Who is responsible for reviewing the policies? 2.12 Is there a separation of authority between finance, programme staff and senior managers? 2.13 Is there a legal requirement to carry out an external audit? 2.14 Has the organisation had an internal or external audit in the last twelve months? Total Yes Answers 0 Total No Answers 0 3 Bank and Cash Control 3.1 Does the organisation have at least one bank account in the name of the organisation? 3.2 Does the organisation maintain separate bank accounts for each donor/project? 3.3 Does the organisation require at least two signatures on all payments and agreements? 3.4 Are all current and archived check/cash books kept in a secure place? 3.5 Is signing blank checks prohibited by the organisation's policies and procedures? 3.6 Are bank reconciliations (between the bank statement and general ledger) conducted for each bank account each month? India HIV/AIDS Alliance Page 22 of 65

23 3.7 Does the organisation keep a petty cash account? 3.8 Does the petty cash have a payment limit? 3.9 Does the organisation have a schedule for replenishing the petty cash account? e.g. minimum threshold Does the organisation have prenumbered petty cash vouchers? 3.11 Does the organisation have a system for approving payments before they are made? 3.12 Does the organisation have a safe place to keep the cash? 3.13 Does someone other than the person managing the financial book manage petty cash? 3.14 Does the organisation reconcile the petty cash and conduct a cash count at least monthly? 3.15 Are bank and cash reconciliations signed by an authorised signatory other than the Finance Manager? Total Yes Answers 0 Total No Answers 0 4 Accounting System 4.1 Does the organisation use a computerised accounting package? If YES, go to If NO, does the organisation at least maintain a cash book and purchase ledger? 4.3 Does the organisation track expense transactions according to a standard chart of accounts? 4.4 Does the organisation track expense transactions according to an approved budget? 4.5 Does the organisation require supporting documents (e.g. original receipts) prior to payments of expenses? 4.6 Are all accounting records and supporting documentation maintained for a period of time? If YES, for how long? 4.7 Does the organisation make provisions (also called accruals) at the end of each year? 4.8 Does the organisation back up electronic financial information on a regular basis? Total Yes Answers 0 Total No Answers 0 5 Budgeting and Financial Reporting 5.1 Does the organisation have an annual budget that covers all activities and income? India HIV/AIDS Alliance Page 23 of 65

24 5.2 Is someone from management and the finance team staff involved in preparing budgets? Probe for comment. 5.3 Are the programme teams involved in budgeting? 5.4 Does a manager approve all budgets? 5.5 Does the organisation prepare monthly financial reports that show budget against expenditure? Who prepares them? Include name and title. 5.6 Is actual expenditure compared with the budget and the variances analysed? Who has the responsibility to prepare, review and take decisions financial reports? 5.7 Do programme staff receive copies of financial reports? 5.8 Does the organisation have to prepare donor reports? 6 Payroll Total Yes Answers 0 Total No Answers Are there employees paid by the organisation? If NO, who comprises the staff? How are they paid? 6.2 Are all staff paid consistently on a monthly or biweekly basis? 6.3 Are employees paid by cheque and/or bank transfers? 6.4 Does the organisation keep timesheets? 6.5 Are mandatory deductions retained from employees? 6.6 Are these madatory deductions paid to the relevant agency when required? Probe here for liabilities. How often are they paid? What deductions are made? 6.7 Does the organisation keep payroll documentation in electronic and paper form for each staff member? 6.8 Does an authorised signatory sign off on the payroll every time? 7 Documentation and filing Total Yes Answers 0 Total No Answers Does the organisation keep all bank statements, vouchers, and financial reports in a secure filing cabinet? 7.2 Does the organisation maintain adequate filing system for the storage of all relevant documents necessary to support financial transactions? 7.3 Does the organisation maintain adequate filing system for the storage of all relevant documents necessary to support legal India HIV/AIDS Alliance Page 24 of 65

25 documents? 7.4 Does the organisation maintain adequate filing system for the storage of all relevant documents necessary to support personnel records? 7.5 Does the organisation maintain adequate filing system for the storage of all relevant documents necessary to support minutes of meetings? 7.6 Can filed documents be quickly and easily retrieved from information derived from the accounting system Total Yes Answers 0 Total No Answers 0 8 Grantmaking and Grant Management 8.1 Does the organisation grant funds to other NGOs or CBOs?If NO, the rest of this questionnaire should not be completed. If YES, how many grantees does the organisation have? What is the average size of the grant agreements? Onward Granting Policies and Procedures 8.2 Does the organisation have written Onward Granting Policies and Procedures? If NO, go to question Do the Onward Granting Policies and Procedures clearly define the Onward Granting cycle and the process of review, approval and documentation for each stage of the cycle? 8.4 Does the organisation have established procedures for closingout grants? Selecting Grantees 8.5 Does the organisation have clear selection criteria for grantees? 8.6 Does the organisation have a committee with clear Terms of Reference for selection of grantees? Contractual Agreements with Grantees 8.7 Does the organisation sign a contractual agreement with each grantee? If NO, questions 817 should be NO as well. 8.8 Does the organisation have a template for this agreement? If YES, provide an example of the template. 8.9 Does the agreement clearly define the roles and responsibilities of the organisation and the grantee? 8.10 Does the agreement comply with local legislation? 8.11 Does the agreement comply with rules and regulations from the donor, including budget restrictions and other special conditions where applicable? 8.12 Does the agreement include reference to the organisation s conflict of interest and antifraud policies? India HIV/AIDS Alliance Page 25 of 65

26 8.13 Does the agreement include requirements for audit and access to documentation? 8.14 Does the agreement include clear provision for amendment, termination/suspension and closeout? 8.15 Does the agreement include a clause on resolution of disputes? 8.16 Does each agreement include workplans and budgets for the grant? Disbursement of funds to Grantees 8.17 Are disbursements only made when contract agreements with grantees have been signed by both parties? 8.18 Are disbursements made in line with approved Workplans and Budgets? 8.19 Are subsequent disbursements made based on approval of financial and programmatic reports? 8.20 Are disbursements made based on forecast expenditure for the next period, when appropriate? 8.21 Are disbursements made following the organisation s financial policies, including the necessary approvals and internal controls? Monitoring of Grantees 8.22 Does a member of the finance team visit grantees regularly to monitor and provide technical support? 8.23 Does the organisation have full time staff dedicated to the monitoring of grantees? If YES, how many? 8.24 Does each grant have a clear financial and programmatic reporting schedule? 8.25 Does the organisation provide programmatic and financial reporting templates to grantees? 8.26 Does the organisation have procedures for when a grantee is required to send copies of receipts with financial reports and when they are allowed to retain receipts? 8.27 Does the organisation carry out audits of the grantees? Grants Management System 8.28 Does the organisation have a Grants Management System with all relevant data for each agreement signed with grantees? 8.29 Does the system track fund obligations and disbursements for each agreement signed with the grantees? 8.30 Does the system allow data to be crosschecked against the organisation s accounting system? Onward Granting and the Organisation s Accounting System India HIV/AIDS Alliance Page 26 of 65

27 8.31 Does the organisation have a well defined accounting policy for all stages of the onward granting cycle? 8.32 Does the policy take into account local legal requirements and donors rules and regulations? 8.33 Are onward grants properly documented in the organisation s accounts, in line with the accounting policy, at each stage? Documentation 8.34 Is each stage of the onward granting cycle properly documented? (E.g. selection of grantees, selection criteria, disbursements, Reports, etc.) 8.35 Does the organisation have a documentation retention policy in line with local legal requirements and donors rules and regulations? 8.36 Is this policy reflected in contractual agreements with grantees? Total Yes Answers 0 Total No Answers 0 India HIV/AIDS Alliance Page 27 of 65

28 Monitoring and Evaluation (M&E) Capacity Assessment Tool A. Collecting and Recording Programmatic Data A001 A002 A003 A004 A005 M&E plan exist for the implementing programmes, showing indicators, data collection methods, sources and persons responsible. SR worked within country/regional/international M&E partners in order to design M&E framework and plan for a project/program. SR uses standardized indicator frameworks/core indicators where relevant? If so, which? List reference resources/manuals used. Baseline and targets defined for the project/programme? Key M&E activities to be conducted with, or by, partner organizations are defined. Strategic Information Management A006 A007 SR have experience in collecting and analyzing programmatic data on a subnational/regional level/ district level? SR links with other data reporting systems in country. If so, describe these links, and list the institutions/organizations involved. Score Detail Comments Comments Docs provided Support required from Alliance A008 A009 A010 A011 A012 A013 A014 A015 There is a clear budget and resource flow plan, linked to the M&E plan. SR nominated an M&E expert to take responsibility for management of the M&E plan/proposed M&E functions linked to the Global Fund grant program. M&E expert also have M&E budget and outsourcing responsibilities. There is a program manager responsible for ensuring strategic use of M&E data, for management decisionmaking in program planning. There are policies in place in the organisation to ensure ethical standards are met with respect to collection of key data, including assurance of patient confidentiality and informed consent, especially where monitoring use of services. SR currently manages or uses a structured programmatic database. There are personnel and systems in place to check the reliability of programmatic data. Does the SR have a mechanism for verifying the M&E systems and capacities of Implementing INGOs? India HIV/AIDS Alliance Page 28 of 65

29 A016 There are reporting formats for INGOs, with clearly defined reporting frequencies and timelines. A017 SR has data quality control mechanism established. B. Producing Regular Programmatic Reports Frequency of Current Reporting Systems B001 B002 B003 B004 B005 B006 SR has experience of producing regular reports on program progress and results. Reports to donors produced according to donor requirements and submitted as per agreed deadlines. Implementing partners given feedback on their reports and performance at defined intervals. Reports and data received regularly analysed Data dissemination plans are developed and implemented (e.g., summary reports, newsletters, graphs and maps). M&E reports related to the Program/Project(s) activities are made available publicly. C. Evaluations and Studies Evaluation plan C001 C002 C003 There is a plan exists for conducting evaluation studies. SR has implemented the evaluation studies, and reports are accessible. Mechanisms established to take forward findings and recommendations from evaluations and/or reviews. Assessment Status 0 Yes Completely Mostly Partly India HIV/AIDS Alliance Page 29 of 65

30 India HIV/AIDS Alliance Programme Management Capacity Assessment Checklist GFATM Round 9 SR Indicators Objective Scores DK Governing Structures Mission, Vision They guide the design of the & Value organisation's strategic aims and Statements objectives Are communicated with the staff in ways they are able to share these with the main stakeholders and the general public Statutes Board Human resource policy & development The organisation's legal framework is reflected in its statutes The statutes include admission criteria for membership, rights and duties of its members The board participates in defining policies, fund raising campaigns, advocacy and public relations The responsibilities and decision making authority of the board are known to the staff The respective roles and responsibilities of the board directors and senior management are clearly defined Board members are representatives of stakeholders, and are able to present a wide range of interests held by stakeholders The organisation has a human resources policy, a training and development plan, staffing policies and regulations. These policies are recorded in a manual and made accessible to the staff All staff have clear job descriptions that are documented, reviewed at least annually and relevant to their actual jobs. The terms and conditions of employment (for instance, salaries and benefits; training and professional development; grievance and disciplinary procedures) are transparent, fair and externally competitive. Recruitment processes are clearly defined, transparent, fair and competitive Observations & Recommend ations India HIV/AIDS Alliance Page 30 of 65

31 Human resources policy, training and development plan and staff regulations are effectively employed, regularly monitored and modified, if necessary. 2 Programme Management Meetings & Each level of the organisation Team Work identifies it's needs for one of the three purposes of meetings: information exchange, debate and brain storming of specific themes and decision making An agenda is available and communicated in advance, thus enabling participants to prepare the meetings Decisions taken during meetings are communicated (minutes of meeting) and follwed up Planning Organisational Experience Training Leaders and participants regularly assess the quality of meetings. The organisation has a policy that facilitates planning, monitoring and self assessment effectively. The annual plan is clearly defined as the responsibility of senior management. Trained personnel are responsible for the planning, monitoring and selfassessment unit The development of strategy and objectives are derived from the organization s mission context Planning processes include consultations with beneficiaries/clients. An annual plan is established. Organisation has substantial experience of working with MSM/TG/Hijras Organisation has a policy of employing MSM/TG/Hijras and that is implemented and evaluated Organisation has expereince in rolling out programs of similar magnitude. Organisation has experience of working on the issues of the MSM/TG/Hijras beyond HIV & AIDS (e.g. Female Partners, Positive Living, Mental Health, Identity & Family Support and Violence & Trauma) There is a staff training policy and all staff members are able to participate in internal or external training programs. The organisation actively supports skill development for all its staff and volunteers Training needs and requests are identified at the employee appraisal India HIV/AIDS Alliance Page 31 of 65

32 time Stakeholder Engagement Partnerships with other NGOs, NACO, SACS, Networks, DAPCUs Advocacy, Organizational Credibility and Leadership training is available to managers to sustain leadership qualities. The main stakeholders are identified The NGO leads or participates in all relevant national networks or fora that meet regularly (at least every 6 months). The NGO collaborates with other organizations to ensure that civil society is adequately represented in the decision making processes of global funding mechanisms Information on the organisation's activities and results are shared with stakeholders through newsletters, annual reports & specific events There is a policy that promotes partnerships, e.g. through sharing certain resources, learnings from others & developing synergies Organisation has experience of working at national, state and district level There are established mechanisms to meaningfully involve partner NGO/CBOs and other stakeholders at all stages of the project management cycle (evaluation as well as implementation and design). The organisation measures progress against output targets for its NGO/CBO partner support programme using a concise set of objectively verifiable indicators. The organisation has a range of qualitative and quantitative tools to systematically collect and collate indicators relating to programme implementation from its NGO/CBO partners. Programme monitoring and expenditure reports are always completed and sent to partner NGO/CBOs, donors and other stakeholders on time. The organisation can easily make available documents to support all financial and nonfinancial transactions, legal issues, minutes of key meetings. This policy is communicated within the organisation, effectively employed and regularly assessed. Advocacy policies and strategies are in place, employed and regularly monitored and evaluated India HIV/AIDS Alliance Page 32 of 65

33 Policy Influence Technical skills in HIV/AIDS and technical support topics Key civil society organizations and government sectors view the organisation as having significant expertise in its area of work and as being a valuable resource Local communities view the organisation as having significant expertise in its area of work and as being a valuable resource The organisation has conducted at least two national level advocacy projects to change the policy or practices of targeted influential individuals or institutions. Where advocacy work is undertaken by the organisation, it is evidencebased, and systematic research is used to compile this evidence. If advocacy work has been undertaken by the organisation, it has included participatory consultations with specific community groups and community leaders giving the organisation a mandate to advocate on behalf of those groups. The organization has technical staff with at least 5 years experience working in the specific HIV/AIDS areas covered by the NGO support programme (e.g. STI referral, peer education, home care etc.). The organization has technical staff with at least 5 years experience in development management (e.g. programme management, organizational development and resource mobilization) Over 80% of technical staff have at least 3 years experience in providing technical support to other organizations. All technical staff regularly update their knowledge and skills, attending at least one conference or training per year. Finance and administration staff are able to provide quality support on administrative issues and financial mechanisms. The organisation is able to provide a range of quality and appropriate tools and resource materials relevant to the capacity building needs of its partners The organisation has the contacts and networks to effectively outsource technical support to quality organizations and individuals if necessary. All technical support staff are committed to inclusive and participatory approaches. India HIV/AIDS Alliance Page 33 of 65

34 Access resource knowledge to and Strategic partner identification and mobilisation Tailored technical support plans, with clear and measurable targets are developed collaboratively with every NGO/CBO partner There are mechanisms in place to ensure that the skills learnt through TS are transferred to the work place and that knowledge is shared with others not directly involved. The organisation consistently evaluates its technical support work and uses the results to improve future support There are documented instances of the organisation, in the past year, actively seeking new and creative approaches to provide or facilitate technical support provision The organisation has a resource collection/library with uptodate HIV/AIDS technical resources, books and information which is used at least once a week by staff. The organisation has its own resource centre managed by dedicated staff and regularly used by people outside the NGO for research. The organisation has access to other local resource centres and libraries and staff utilize these at least once every 3 months. The organisation can name a person and/or organisation for each HIV/AIDS technical area it operates in, that it communicates with at least every 3 months, to get extra technical knowledge. Technical staff subscribe to relevant journals and based updates on HIV/AIDS issues. All key technical staff each have their own access to the internet. There is a documented selection procedure which is available to prospective partners on request. Roles and responsibilities are allocated across a range of staff and are clearly demarcated so as to avoid discriminatory selection procedures. Selection criteria are systematically applied to ensure that organizations of equal merit stand an equal chance of being selected. Review by (external and/or internal) individuals with appropriate expertise ensures that submitted proposals are accurately appraised. The process for identifying and selecting partners is subject to regular (at least annual) review and refinement India HIV/AIDS Alliance Page 34 of 65

35 There are documented instances of the organisation being proactive in identifying emerging organizations that show potential but have not yet received any funding. The selection process has flexibility to be accessible to small community based organizations The portfolio of selected partners fits with organizational objectives. The selected projects are all based on clear needs, defined through participatory needs assessment The organization ensures that appropriate and quality support is given to smaller organizations on proposal development and/or project design India HIV/AIDS Alliance Page 35 of 65

36 A. Sub subrecipient selection SSR Management Assessment Tool Yes, No, N/A A.1 Are there adequate procedures and criteria in place for a transparent selection of sub subrecipients? Comments: Is the selection of sub subrecipients proceeding according to an agreed timeframe? A.2 Comments:. B. Sub subrecipient capacity assessment B.1 Does the SR have adequate plans and resources, including human resources, in place to undertake effective, independent, and transparent sub subrecipient capacity assessments? Comments: B.2 Does the SR have adequate Operational Procedures (i.e. appropriate tools and methodology) to assess the technical capacity of the sub subrecipients? If yes, do they adequately cover the four key areas: 1) Monitoring & Evaluation (M&E), 2) Financial Management and Systems, 3) Procurement and Supply Management and 4) Program Management capacity, as appropriate? Comments: Does the SR have staff with adequate technical capacity to conduct the sub subrecipient capacity assessments, analyze findings and advise on capacity strengthening or other appropriate measures? B.3 Comments: India HIV/AIDS Alliance Page 36 of 65

37 C. Sub subrecipient Management and oversight C.1 Has the SR had previous experiences with managing sub subrecipients and disbursements to those entities? Comments: C.2 If yes, were such disbursements of similar magnitude and to similar types of sub subrecipient entities? Comments: C.3 Relative to the total grant, do disbursements to sub subrecipients represent a significant proportion? If yes, how does the SR intend to manage this? Comments: C.4 Does the SR have Operational Procedures and plans in place for managing sub subrecipients, including for monitoring the program implementation at sub subrecipient level and reviewing sub subrecipients financial and programme reports for completeness and technical soundness, to meet GF requirements? Comments: C.5 Does the SR have demonstrated capacity and resources, including adequate human resources, for programmatic and financial management and oversight of sub subrecipients? Comments: C.6 Does the SR have the technical capacity to provide training or other assistance to sub subrecipients, as required to implement the program? If not, does the SR have access to appropriate capacity building resources that can be used to strengthen sub subrecipient capacities, as needed? Comments: C.7 Does the SR have systems in place for early identification of problems/capacity gaps at sub subrecipient level and for initiating effective remedial actions? Comments: India HIV/AIDS Alliance Page 37 of 65

38 C.8 Is there a system in place to ensure that proper sub agreements exist with sub subrecipients and that those are authorized by SR management of appropriate seniority? Do such agreements give the SR authority to withhold disbursement to sub subrecipients? Comments: C.9 C.10 How does the SR plan to monitor the implementation of identified remedial actions (e.g. capacity building)? Comments: Does the SR have adequate systems place (from request through to payment) to ensure accurate disbursement of funds to sub subrecipients in a timely, transparent and accountable manner? Comments: C.11 Is the financial and management information system of the nominated SR sufficient to ensure the availability and integrity of financial and programmatic data from the sub subrecipients? Will this system enable the SR to adequately track sub subrecipient expenditures? Comments: C.12 C.13 Does the SR have adequate procedures in place to agree work plans and budgets with each sub subrecipient? Comments: Does the budgetary system capture disbursements per sub subrecipient? Comments: General procedures to safeguard assets held by sub subrecipients C.14 Does the SR have necessary procedures and checks in place to ensure the safeguarding of assets held by sub subrecipients? Comments: India HIV/AIDS Alliance Page 38 of 65

39 PR OFFICIAL RECOMMENDATION The India HIV/AIDS Alliance as Principal Recipient for the Global Fund Consolidated Grant hereby confirm that (Name of organisation) has/ do not have (Please cross as appropriate) the capacity to implement Programme activities and submit timely reports that are being assigned to it in a transparent documented manner. Name of PR staff: Position: Signature: Date: India HIV/AIDS Alliance Page 39 of 65

40 ANNEX 2 GLOBAL FUND SUBRECIPIENT AGREEMENT (ROUNDS 9 GFATM GRANT) BETWEEN India HIV/ AIDS Alliance (PRINCIPAL RECIPIENT) AND. (SUBRECIPIENT) ON India HIV/AIDS Alliance Page 40 of 65

41 GRANT AGREEMENT «Start_Date» to «End_Date» «Address1» «Address2» And «Full_Name» India HIV/AIDS Alliance Page 41 of 65