Policies, procedures and regulations

Policies, procedures and regulations of the Country coordination mechanism for the HIV/AIDS and tuberculosis control programs

 (revised in September 2014)


List of acronyms

Preliminaries

Chap. I. General provisions and definitions

Chap. II. The functioning principles of the CCM

Chap. III. The structure of the CCM

Chap. IV. The attributions of the CCM

Chap. V. The functioning of the CCM

Chap. VI. The attributions of the Chair and Vice-chair

Chap. VII. The mandate of the CCM’s members

Chap. VIII. The attributions of the CCM’s secretariat

Chap. IX. The meetings of the CCM

Chap. X. The relation between the CCM and the PR

Chap. XI. Preventing and managing conflicts of interests

Chap. XII. CCM’s supervising the implemention of the GFATM grants and the evaluation of the PRs’ performances

Appendix 1: CCM members

Appendix 2: Representatives of the organisations and institutions (members and alternates)

Appendix 3: Criteria for selecting and nominating the PR


List of acronyms

CCM – Country Coordination Mechanism for the HIV/AIDS and Tuberculosis Programs

GFATM – The Global Fund to Fight AIDS, Tuberculosis and Malaria

PR – Primary Recipient

SR – Subrecipient

LFA- Local Fund Agent

TB – Tuberculosis

PPR- Policies, procedures and regulations

 

Preliminaries

The CCM has been set up 2002, following the structure of the National Multi-sectorial Commission on HIV/AIDS that invited entities from the governmental, non-govermental, academic, private sectors and international organisations to ensure the correlation between the GFATM financed programs and the national HIV/AIDS and TB programs.

Chap. I. General provisions and definitions

Art. 1. CCM’s objectives:

  1. a) the strategic and multi-sectorial coordination of the HIV/AIDS and TB programs and their harmonisation with the strategies and national plans directed towards these areas;
  2. b) to ensure the sustainability of the GFATM (and other financing organisms) funded interventions;
  3. c) to boost the governmental participation in the efforts to ensure the access to prevention, treatment and care services for HIV/AIDS and TB affected and at risk people.

Art. 2. The structure, attributions and regulations that govern the CCM activities are set considering the principles and guidelines of the GFATM, as well as the attributions and the legal responsibilities of its members.

Art. 3. The Primary Recipient(s) (PR) are entities with legal personality and legal status that receive and manage for the CCM the funds from GFATM accordingly to the grant agreement(s) (after being nominated by the CCM and the GFATM evaluation and confirmation). The PR’s representatives are members in the CCM.

Art. 4. The subrecipients (SR) are institutions and organisations with legal status in Romania that receive funds from the PR in order to implement the activities in the GFATM financed programs.
Art. 5. The Local Fund Agent of the GFATM (LFA) is the representative of GFATM in Romania and has a status of permanent guest to the CCM’s meetings.

Chap. II. The functioning principles of the CCM

Art. 6. The CCM is built as a partnership between the stakeholder institutions and organisations and the coordinating mechanisms for implementing the public policies and the country programs in HIV/AIDS and TB control and answers to the principles in the national strategies for the two areas.

Art. 7. The CCM promotes transparency and the efficient use of resources in implementing programs, as well as raising the sense of responsibility in its members and partners.

Art. 8. The CCM promotes the elimination of stigma and discrimination for vulnerable people or those living with HIV/AIDS or TB.

Chap. III. The structure of the CCM

Art. 9. (1) The CCM’s members may be:

  1. Public institutions with attributions in the area (unlimited number of seats);
  2. Formal or informal organisations of vulnerable, HIV/AIDS and TB infected or affected people (maximum 4 seats);
  3. NGOs active in the area (maximum 8 seats);
  4. Private sector entities active in the area (maximum 2 seats);
  5. International organisations;
  6. Other entities active in the area;
  7. Primary Recipients (PR);
  8. Individuals with relevant activity in the field (maximum 2 seats).

 

(2) The CCM CNC will try to include representatives from all the constituencies listed at 9 (1). The number of CCM members is not predefined, but it cannot exceed 35 members.

 

(3) The admission procedure includes:

– any interested public institution, non-governmental organization or individual can become CCM member, according to the criteria specified in the CCM;

– on the CCM website, the invitation to join the CCM will be permanent and it will be addressed to any entity active in the field;

– a written request addressed to the CCM Secretariat, alongside with a written description of relevant activities in the respective fields of work, a letter of intent and at least two recommendations from CCM members;

– given the limited number of seats, in case the applicant is an NGO and there are more NGOs with relevant experience and interested to become CCM members in the respective constituency, the CCM Secretariat will demand the proof of an agreement among the organizations and the persons representing them in the CCM. The Secretariat is mandated to mediate this agreement among organizations from the same constituency and to inform the CCM on these actions;

– the candidacy must be presented to the CCM members in the next meeting;

– the candidacy is discussed and voted by the CCM.

 

(4) The criteria analysed by the CCM in deciding on the candidacy are:

  1. a) expertise in the field;

– legal entities – minimum 3 years of experience in the field / activities portfolio /minimum 2 activity reports in the respective field / declaration on their financial status (concerning bankruptcy or other potential financial issues/conflicts) or other issues in conflict with the CCM membership status;

– individuals: CV proving relevant experience in the field;

  1. b) representativeness for one of the constituencies listed by art. 9 (1):

– legal entities: structure, number of members, beneficiaries, management, objectives and activities;

– individuals: relevant activity in the respective field.

 

(5) The CCM members are listen in Appendix 1. Each member designates a main representative and an alternate. The CCM representatives are nominated by the management of the member institutions and organisations according to their own regulations. Individuals cannot delegate their member quality. Annually, the NGO representatives will present to the CCM Secretariat a document proving their delegate quality, signed by the organisation’s steering committee or General Assembly.

The CCM promotes gender equality among CCM members.

The CCM members are updated permanently in the CCM and GF database, and in Appendix 2 of the present Regulations.

The CCM representatives may be revoked and replaced by the instances that designated them, according to the procedure of designation.

 

(6) The CCM membership is limited to a three years term and it can be renewed. The CCM membership may cease in the following conditions:

  1. a) when the entity ceases its activities or is dissolved;
  2. b) when requested by the member;
  3. c) when a CCM decision of exclusion is made following the breach of CCM Regulations, promoting actions, attitudes or opinions which are discriminating against people living with HIV or TB, other situations contrary to the CCM goal and mission;
  4. d) when the members of a constituency decide they want to be represented by another organisation in the CCM.

Art. 10. (1) The CCM has a permanent Secretariat that is designated by the CCM decision. The Secretariat must independent of the PR and SRs and answers to the whole CCM, and not individual members. The secretariat’s attributions are listed in chap. VIII.

(2) In case a member does not attend three consecutive CCM meeting, the Secretariat will notify the CCM, which will analyse the situation.

 

Chap. IV. The attributions of the CCM

Art. 11. The CCM has the following main attributions:

  1. a) coordinates the financing applications through a transparent and documented process involving various institutions and organisations active in the area, CCM members and non-members, including representatives of people living with HIV/AIDS and TB; it approves the final applications and submits them to the donors;
  2. b) ensures the harmonization between Romania’s proposals to the GFATM/other donors, the national strategies and programs in HIV/AIDS and TB control and other national and international relevant documents (studies and researches, international guidelines, recommendations from the international evaluation missions);
  3. c) ensures that the applications for funds are completed after a documented analysis of the programmatic and financial priorities of the national programs in the area;
  4. d) for the grants received from the GFATM, the CCM selects and nominates, according to the GFATM criteria – see Appendix 3, one or more Principal Recipients and proposes to the GFATM that the active PR should be revoked when the latter does not fulfill its obligations stipulated in the grants agreements and in the present regulation manual;
  5. e) approves the selection process and/or nominalization of the subrecipients (SRs) that will be contracted for implementing the activities stipulated in the financing agreements between the GFATM and the PRs;
  6. f) coordinates the periodic process of technical review of implementation of the actual grants that is required by the GFATM, creates and submits the applications to the GFATM for continued financing in the second phase of the grants;
  7. g) supervises the implementation of the programs’ activities funded by the GFATM according to the supervision mechanism described in chapter XII of the present document;
  8. h) approves, according to the donor rules, the major changes in implementation plans vs. the plans approved in the grant agreements;
  9. i) promotes, through its members, the continuity and sustainability of the programs that begun by means of GFATM/other donors funding, accordingly to the national priorities;
  10. j) promotes the increase of the governmental participation in the programs funded by the GFATM/other donors according to their financing criteria and requests;
    k) chooses and revokes the CCM’s Chair and Vice-chair;
  11. l) approves the agenda in the CCM’s meetings;
  12. m) revises on a annual basis the list of its members.

Chap. V. The functioning of the CCM

Art. 12. The CCM functions as a national consensus group to promote the partnership in a transparent developing and implementing of programs funded by the GFATM and to ensure the continuity of the interventions after the GFATM/other donors’ funding will cease.

Art. 13.

(1) The CCM is chaired over by a Chair and a Vice-chair chosen by vote by the CCM members from the CCM members, with a mandate of 4 years.

(2) The Chair and the Vice-chair must represent different sectors (governmental and non-governmental).

(3) The Chair and Vice-chair cannot be representatives of the PR.

Art. 14. All CCM members are equal in their rights to participate, express and involve themselves in the decision-making process.

Art. 15. To fulfil its attributions, the CCM may put in place supervising, technical review and/or selection commissions and technical working groups for which it sets their mandate.

Chap. VI. The attributions of the Chair and of the Vice- chair

Art. 16. The Chair has the following attributions:

  1. To set the project for the agenda in the CCM’s meetings based on the proposals from the members that are centralized by the secretariat;
  2. To convoke, through the secretariat, the CCM’s members for the ordinary and the extraordinary meetings;
  3. To Chair over the CCM’s meetings and to establish if these are statutory;
  4. To subject for voting the requests or proposals of participation of the guests to the CCM’s meetings;
  5. To sign the CCM’s decisions and the correspondence sent on behalf of the CCM;
  6. To discuss in the CCM the complaints about the programs’ implementation;
  7. Supervised the Secretariat activity and annually assesses the Secretariat’s performance;
  8. The Chair will approve any expenditure made by the Secretariat which exceeds 1,000 Euro.

Art. 17. The Vice-chair has the following attributions:

  1. To replace the Chair when the latter is missing;
  2. To fulfil the attributions that are delegated by the Chair or that are agreed upon.

 

Chap. VII. The mandate of the CCM members

Art. 18. The representatives of the CCM members have the obligation to inform the organisations/institutions that designated them concerning the CCM activities and decisions. The non-governmental organisations have the obligation to insure transparency on their activity in the CCM within their constituencies, but also to the general public. The CCM representatives’ activity will be presented in the annual report of the organisations and it will be made public online at least once per year.

Chap. VIII. The attributions of the CCM’s secretariat

Art. 19. The CCM’s secretariat hat the following main attributions:

  1. to implement the decisions of the CCM;
  2. to ensure the resolution of current problems in the CCM’s activity;
  3. to fulfil any other tasks assigned by the CCM.

Art. 20. In fulfilling its attributions, the CCM’s secretariat:

  1. transmits the invitations to the CCM’s meetings;
  2. writes the agenda for the meetings and, after they are approved by the Chair, disseminates them to the CCM’s members accompanied by the documents mentioned with at least 7 days ahead the ordinary meetings and at least 3 days before the extraordinary ones;
  3. writes the minutes for the CCM’s meetings;
  4. disseminates the minutes to the CCM’s members and other stakeholder institutions in a period of maximum 7 days after the meeting;
  5. copies and distributes to the CCM’s members the relevant documentation linked to the CCM’s activities;
  6. collects and properly archives the CCM’s documentation, and hands over this archive to the new secretariat when required, accompanied by an official report;
  7. develops and maintains (updates) a website with all the information about the CCM’s functioning and activities;
  8. transmits to the GFATM general secretariat (annually and every time there are new modifications) the list with the CCM’s composition that has the members’ names and their representatives and their contact data (e-mail, telephone, mailing address);
  9. writes the CCM’s decisions and sends them to then Chair/Vice-chair to be signed;
  10. receives the mails addressed to the CCM and reroutes them as needed;
  11. translates the CCM’s documents from Romanian to English whenever the case in order to document the CCM’s activity for the GFATM.

Chap. IX. The meetings of the CCM

Art. 21.

(1) The CCM has ordinary quarterly meetings and extraordinary meeting when requested by the Chair/Vice-chair or minimum a third of the CCM membership.

(2) The CCM’s meetings are statutory when there are present half plus one of its members.

(3) The decisions are endorsed by consensus or, alternately, by vote with the simple majority.

(4) In cases of tie, the vote of the person Chair over the meeting is decisive.

(5) Each member has one vote.

(6) The vote cannot be delegated.

 

Art. 22.

(1) At the request of the Chair or Vice-chair, the decisions may be taken by electronic voting (via email).

(2) The validity of the decisions voted by half plus one of the votes expressed depends on the CCM’s members answering in a proportion of half plus one.

(3) The result of the vote is centralized, communicate to the CCM’s members and archived by the secretariat.
Art. 23.

(1) According to the agenda and the subjects to be discussed, the meetings may be attended also by other entities/persons than the CCM’s members when requested by the Chair, when proposed by the members or by these entities/persons themselves. The CCM encourages the participation of the representatives from the affected communities by making public the announcement for the meeting and its agenda on the CCM’s website with at least 7 days ahead.

(2) The invitations are sent by the secretariat.

 

Art. 24.

(1) The agenda is approved by the CCM at the beginning of the meeting.

(2) At the Chair or members’ request, the agenda may be supplemented topics other than those in the draft of the agenda.
Art. 25.

(1) In each meeting, the debates and measures decided are recorded (written down) by the secretariat.

(2) The minute is final after there have been incorporated all comments received from the CCM’s members in maximum 7 days.

(3) The final minutes are made public on the website.

(4) The decisions adopted in the CCM’s meeting are written down by the secretariat’s staff and signed by the Chair / Vice-chair.

(5) After being signed, they are sent to the CCM’s members and mad public on the website.

 

Chap. X. The relation between the CCM and the PR

Art. 26. For the CCM’s meetings, the PR will prepare and sent to the secretariat in due time according to the methodology for the meetings:

  1. reports on the degree of spending from the grants and the degree of fulfilling the objectives and indicators;
  2. reports on the PR’s performance and on obstacles in implementation;
  3. funds reallocation requests if necessary;
  4. other useful information for debating the topics on the agenda and for adopting decisions.

 

Art. 27. The PR will ensure, through a webpage, the access of any CCM member to the documentation on implementing the grants: work plans, M&E plans, biannual reports for the LFA and GFATM, contracts with the SRs, reports on fulfilling the previous stipulations, SRs’ reports, PR’s and SRs’ auditing reports. The PR will respect all communication requisites with the CCM as stated in the grant agreement with the donor.

 

Art. 28. The decisions made by the CCM in the limits of its mandate are compulsory for the PR.

Chap. XI. Preventing and managing conflicts of interests (CoI)

 

Art. 29.

(1) There is a CoI situation anytime a CCM member or the institution he/she is representing has an interest in adopting a decision referring but not limited to:

  1. a) the appointment of the PR or SRs.;
  2. b) reallocations within the grant or re-scheduling in the implementation of certain stages of the program;
  3. c) aspects referring to monitoring the PR or SRs;
    d) measures with a financial impact on the PR or SRs;
    e) the appointment of members in the technical assessment committees or working groups which are producing recommendations that can be the base for CCM decisions.
  4. f) any other potential conflict of interests.

(2) Before the discussions referring to any CCM decision, the CCM members who are in CoI are obliged to declare it.

(3) the CCM can decide whether the member who announced his/her CoI can participate in the debate or only partially. The member in CoI cannot vote in decisions which relate to the CoI.

(4) in case members in CoI do not announce themselves the conflict, in line with paragraph 2, any CCM member is entitled to publicly inform the other members about the nature of the CoI or to signal it to the Secretariat.

(5) the Secretariat has the obligation to mention in the meeting minute the information received and inform the CCM members immediately, keeping the confidentiality on the name of the person which has made the notification;

(6) the CCM Secretariat will demand to all representatives in the CCM to declare their conflict of interests by signing a conflict of interests declaration. The representative will have to declare the personal or the organisation’s conflict of interests.
Art. 30.

(1) When, after adopting a decision, any of the members sends a written note to the secretariat announcing a CoI not declared by the person involved, he secretariat will send a notice to all the CCM’s members in 3 days from receiving the information.

(2) The CoI verification will be made by a commission formed by a maximum of 3 members chosen at random in the next CCM meeting.

(3) The commission will verify the CoI in 30 days and will submit to the secretariat a formal document that will prove or disprove the CoI. In maximum 7 days after receiving it, the secretariat will disseminate the document to all of the CCM’s members.

(4) The person who wrote the note or the person mentioned in the note have the right to challenge the document proving or disproving the CoI in maximum 15 days from the dissemination of the document.

(5) This appeal will be settled by a new commission, formed by a maximum number of 5 CCM members, chosen randomly in the next CCM meeting, according to the procedure in (3).

(6) A document unchallenged in due time, as well as the document issued by the appeal commission are definitive.

(7) Based on the definitive documents, the Chair communicates to the organisation in question the withdrawal of the CCM membership.

 

Chap. XII. CCM’s supervising the implementation of the GFATM grants and the evaluation of the PRs’ performances

Art. 31. The CCM supervises the grants from the GFATM implementation and evaluates the performances of the PRs based on an annual plan that may contain (among others):

  1. a) the analysis of data in the reports from the PR;
  2. b) meetings of the CCM members with the LFA;
  3. c) meetings of the CCM members with the GFATM representatives when the later visit Romania;
  4. d) evaluation activities subcontracted with entities external to the CCM;
  5. e) visits of the CCM members to the PR, together with the LFA if necessary;
  6. f) SRs evaluation activities conducted by CCM members in coordination with the PR;
  7. g) communication with the PR calendar.

Art. 32. The CCM will approve the plan and the way in which it will be developed and implemented.

Art. 33 The CCM nominates an Oversight Committee (OC) on an annual basis. The OC is formed by experts from various fields. The members can be selected from CCM members, they can be parts of CCM members organisations expert teams or they can be selected from outside CCM. The OC has the following tasks:

  • with support from the CCM Secretariat, it develops and proposes an Annual Oversight Plan to the CCM
  • with support from the CCM Secretariat, it impements the Annual Oversight Plan
  • every six months, it presents the results in the oversight activities to the CCM
  • it informs the CCM Chair and/or the CCM members in case any emergency occurs.

 


APPENDIX 1: CCM members

The institutions and organisations members of the CCM are (at 19.06.2014):

Governmental entities

Public institutions with responsibilities in this area

 

  1. Ministry of Health (MoH)
  2. Ministry of Labor, Family, Social Protection and Elderly People
  3. Ministry of Labor, Family, Social Protection and Elderly People – General Directorate for the Child Protection
  4. Ministry of Labor, Family, Social Protection and Elderly People – General Directorate for Persons with Disabilities
  5. Ministry of Administration and Interior – National Antidrug Agency
  6. Ministry of National Education
  7. Ministry of Justice – National Administration of Penitentiaries
  8. Ministry of Defense, Preventive Medicine CentreNon-governmental entities

    Organisations of vulnerable, infected with or affected by HIV/AIDS and TB9. National Federation of Organizations of PLWHA (UNOPA)
    10. Romanian Tuberculosis Association (ARB-TB)
  9. Association of Patients with MDR-TB (ASPTMR)Non-governmental organisations active in the area

    12. ACCEPT Association
  10. ARAS – Romanian Association Against AIDS
  11. Close to You Foundation (ADV)
  12. Romanian Red Cross
  13. Center for Health Policies and Services – CPSS
  14. Foundation for People Development (FDP)
  15. Health Aid Romania (HAR)
  16. Integration Association
  17. Youth for Youth Foundation (TNT)
  18. Population Services International – Romania (PSI)
  19. Save the Children Romania
  20. Society for Contraceptive and Sexual Education (SECS)
  21. Alliance to Fight Alcoholism and Addictions (ALIAT)

 

 

Private sector/for-profit organisations (companies that may contribute to implementing national HIV/AIDS and TB programs)


  1. The Romanian Association of International Medicine Manufacturers (ARPIM)

Academia

26. The National School for Public Health and Sanitary Management (SNSPMS)
27. National Institute for Infectious Diseases “Prof. Dr. Matei Bals” (INBI Prof. Dr. Matei Bals)

  1. Pneumology Institute “Prof. Dr. Marius Nasta”

International organisations with agencies in Romania

29. World health Organisation (WHO)
30. UNICEF Romania
Primary recipients

31. Romanian Angel Appeal Foundation (RAA)

GFATM Secretariat:

Dragoș Roșca

Romanian Harm Reduction Network

GFATM Secretary

 

 

 

 

 

 

 

 

 

 

 

 

Appendix 2: Representatives of the organisations and institutions (members and alternates)

 

Country Coordination Mechanism for the HIV/AIDS and Tuberculosis Programs Cf PPR (Appendix 1)
GOVERNMENT (GOV)
Public institutions with responsibilities in this area
1. Ministry of Health (MoH) Alexandru RafilaAmalia Șerban
2. Ministry of Labor, Family, Social Protection and Elderly People Mihaela GrecuDiana Costachioaie 
3. Ministry of Labor, Family, Social Protection and Elderly People – General Directorate for the Child Protection Elena TudorIzabela Popa
4. Ministry of Labor, Family, Social Protection and Elderly People – General Directorate for Persons with Disabilities Iulian AldeaClaudia Bretan
5. Ministry of Administration and Interior – National Antidrug Agency Cătălina NiculaeMihaela Bebu
6. Ministry of National Education Daniela Călugăru
7. Ministry of Justice – National Administration of Penitentiaries Laura StefanLucia Mihăilescu
8. Ministry of Defense, Preventive Medicine Centre Adrian EremiaGabriela-Sabina Dutescu
NON-GOVERNMENTAL ENTITIES
Organisations of vulnerable, infected with or affected by HIV/AIDS and TB (PLWD)
9. National Federation of Organizations of PLWHA (UNOPA) Iulian PetreCristian Roșu
10 Romanian Tuberculosis Association (ARB-TB) Marius DumitruKarla Pîrcalabu
11. Association of Patients with MDR-TB (ASPTMR) Cătălina ConstantinȘtefan Răduț
Non-governmental organisations active in the area (NGO)
12. ACCEPT Association Carolina Marin
13. ARAS – Romanian Association Against AIDS Monica DanMaria Georgescu
14. Close to You Foundation (ADV) Angela AchițeiMihaela Munteanu
15. Romanian Red Cross Victoria MihăescuAndreea Furtună
16. Center for Health Policies and Services – CPSS Daniela FărcășanuFlorin Sologiuc
17. Foundation for People Development (FDP) Raluca Anca
18. Health Aid Romania (HAR) Ernestina RotariuKarina Petrescu
19. Integration Association Alexandra Luca
20. Youth for Youth Foundation (TNT) Adina ManeaMihai Diaconiuc
21. Population Services International – Romania (PSI) Patricia Mihăescu
22. Romanian Angel Appeal Foundation (RAA) Silvia AsandiMihaela Ștefan
23. Save the Children Romania Anca StaminLeonard Andreescu
24. Society for Contraceptive and Sexual Education (SECS) Borbala KooElisabeta Horhoianu
25. Alliance to Fight Alcoholism and Addictions (ALIAT) Bogdan GlodeanuIoana Tomuș
Private sector/for-profit organisations (companies that may contribute to implementing national HIV/AIDS and TB programs) (PS)
26. The Romanian Association of International Medicine Manufacturers (ARPIM) Dan ZaharescuOana Igrișan
Academia (EDU)
27. The National School for Public Health and Sanitary Management (SNSPMS) Carmen AngheluțăTeodora Ciolompea
28. National Institute for Infectious Diseases “Prof. Dr. Matei Bals” (INBI Prof. Dr. Matei Bals) Mariana MărdărescuAdrian Abagiu
29. Pneumology Institute “Prof. Dr. Marius Nasta” Gilda PopescuIoana Domnica Chiotan
International organisations with agencies in Romania (MLBL)
30. World health Organisation (WHO) Victor OlszavskyCassandra Butu
31. UNICEF Romania Eugenia ApolzanEduard Petrescu

 

 

 

 

 

 

 

 

 

 

Appendix 3: Criteria for selecting and nominating the PR

 

The nomination of the PR for the GFATM grants is based on the proposals from the CCM members.

In order to be proposed for nomination or re-nomination, a PR must comply at the same time with all the GFATM criteria listed below.

The nomination of the PR is validated by the vote of CCM members.

 

Minimum eligibility criteria for selecting the PR:

 

  1. Capacity for programmatic management

 

In order to successfully take over the responsibility for implementing the program and for efficiently use the funds from the grant according to the principle of financing based on performance, the PR must show, before signing the agreement with GFATM, a proper capacity for programmatic management. The latter refers to:

  • the legal status and authority necessary to sign the grant agreement with the GFATM
  • efficient organizational management, doubled by efficient financial and decisional systems
  • infrastructure and software capable of sustaining the program’s implementation
  • relevant expertise in HIV/AIDS, TB or malaria, as well as a proper transversal expertise (financial, acquisitions, legal, monitoring/evaluating, etc.)

 

The following areas will be considered by the LFA in order to validate the nominated PR:

  1. the legal status of the PR
  2. the management and organization
  3. the infrastructure and software
  4. the technical expertise
  5. the performance history as a PR (in case of re-nominating), etc.

 

Source: Principal Recipient Background Analysis and Program Management Capacity (PMC)

Assessment Tool http://www.theglobalfund.org/en/lfa/documents/

 

  1. Financial management systems

 

The PR must possess a financial management system that is able to show the following:

  • the correct record of all he transactions and balances, including those financed by GFATM
  • the periodic reconciliation of balances
  • the transparent and responsible transfer of funds towards SRs and providers
  • the maintenance of a proper internal control system
  • correct financial reports and statements
  • the protections of the goods that were bought
  • that they were and are the object of financial auditing.

 

Because the systems of financial management of the PR are vital to implementing GFATM grants, in order to ensure that the PR nominated by the CCM is compliant to all these requirements, the GFATM urges the LFA to evaluate the nominated PR before signing the grant agreement. This evaluation has 7 segments:

  1. the organisation of the financial management system and its functions
  2. budget management
  3. cash-flow management
  4. accounting system
  5. procurement system
  6. stock management and fixed inventory
  7. auditing system

 

Source: Financial Management Systems Assessment Tool http://www.theglobalfund.org/en/lfa/documents/

 

  1. Pharmaceutical and Health Product Management (PHPM)

 

 

The pharmaceutical and health products play a crucial role for the most grant recipients.

The funds from GFATM offer extraordinary conditions for buying, storing and distributing large quantities of products used in fighting HIV/AIDS, TB and Malaria. But this may also involve important risks (the bad management of resources and the low quality of products) that reflect upon the quality of life in the people affected by these three epidemics.

 

This is the reason why the PR must be able to give proof of:

  • the fact that they have a management plan regarding the acquisitions and stocks that is in line with the GFATM policies concerning pharmaceutical and health products
  • and that they have the capacity to implement this plan.

 

The evaluation of the acquisition systems for the nominated PRs stresses the following areas:

  1. the policies and the acquisition system
  2. the rights of intellectual property
  3. the system and ability to ensure the quality of the products
  4. the selection of the products
  5. the IT management system for acquisitions
  6. the capacity to assess the necessary stocks
  7. the capacity of storing and stock management
  8. the distribution of the products
  9. a proper usage of the drugs
  10. the coordination and acquisition management (including the SRs)

 

Source: Pharmaceutical and Health Product Management (PHPM) Assessment Tool http://www.theglobalfund.org/en/lfa/documents/

 

  1. SRs’ management

 

The PR must comply with the minimum level of requirements regarding the management ability of the SRs:

  • to give proof that they have efficient systems for evaluating the capacity of the SRs and to provide technical assistance to them in order to ensure that they are compliant with the necessary requirements for implementing the activities in the program;
  • to give proof that they have proper management systems that will allow supervising the implementation of the activities and resources’ use by the SRs, facilitating at the same time the efficient and on time implementation (with the resources provided) of the activities agreed upon in the grant and sub-grant agreements.

 

The following areas will be evaluated by the LFA in order to validate the nominated PR:

  1. SRs’ selecting system
  2. SRs’ capacity evaluation system
  3. SRs’ management system and the supervising of the grant activities implementation.

 

Source: Sub-recipient Management Assessment Tool, http://www.theglobalfund.org/en/lfa/documents/

 

  1. Monitoring & Evaluation (M&E) systems

 

The PR must give proof of:

– the experience in working with and implementing M&E plans for health programs (with indicators, targets, attached budget)

– the experience in implementing operational researches in health area and/or behavioral/serologic studies in public health

– a capacity, especially regarding human resources, to implement a M&E plan for the GFATM funded program.

 

The following areas will be evaluated by the LFA in order to validate the nominated PR:

  1. the quality of the M&E plan that will be used in implementing the grant: indicators, M&E budget, work plan for M&E, M&E coordination, human resources for M&E, M&E instruments and guidelines, data gathering, analyzing and reporting, evaluation, operational studies, researches, harmonization with the national M&E plans
  2. the PR’s capacity and resources to implement this plan
  3. the list of targets and indicators (the performance framework): the consistency compared to the original proposal and the definition quality for the indicators, baselines, targets, target and indicator revision.

 

Source: LFA M&E Assessment Checklist, http://www.theglobalfund.org/en/lfa/documents/