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Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
Operational Guidelines
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Operational Guidelines

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  • 1. Three Diseases Fund Operational Guidelines for the Implementing Partners and the Fund Manager Update Status: July 2009 Fund Management services provided on behalf of the Donor Consortium by: Three Diseases Fund No. 137/1 Than Lwin Road, Kamayut, Yangon, Myanmar Tel: +95-1-534498, tel/fax: 504832, info@3dfund.org
  • 2. Abbreviations and acronyms AIDS Acquired Immunodeficiency Syndrome APRO Regional Office for Asia and the Pacific (UNOPS) CB Coordination Body CBO Community Based Organization CEO Chief Executive Officer CMDS Central Medical Stores Depot CV Curriculum Vitae DC Donor Consortium DOTS Directly Observed Treatment Short-course 3DF Three Diseases Fund EOI Expression of Interest FB Fund Board FM Fund Manager FEC Foreign Exchange Certificate FDA Food and Drug Administration FHAM Fund for HIV/AIDS in Myanmar GMP Good Manufacturing Practices GFATM Global Fund to Fight HIV/AIDS, Tuberculosis and Malaria HIV Human Immunodeficiency Virus INGO International Non-Governmental Organization IP Implementing Partner ICT Information and Communication Technology IO International Organization IDA International Development Assistance LTA Long Term Agreement LNGO Local Non-Governmental Organization M&E Monitoring and Evaluation MoA Memorandum of Agreement MoH Ministry of Health MoU Memorandum of Understanding MSF Médecins Sans Frontières NAP National Programme (for each disease) PA Professional Association PLHIV People/persons Living with HIV* PSI Population Services International RFP Request for Proposals ST Sexually Transmitted Infections TB Tuberculosis TSG Technical and Strategic Group UNOPS United Nations Office for Project Services UN United Nations UNAIDS Joint United Nations Programme on HIV/AIDS UNFPA United Nations Population Fund UNICEF United Nations Children’s Fund VCCT Voluntary, Confidential Counseling and Testing WHO World Health Organization * Although “People Living with HIV and AIDS” (PLWHA or PLHA) is widely used, the currently preferred phrase is “People Living with HIV” (PLHIV) 2
  • 3. Three Diseases Fund Operational Guidelines Table of Contents 1. Introduction 3 2. Objectives and general principles 3 3. Fund Governance 4 4. Policies and priority action areas 7 5. Fund Management 10 a. Funding Cycle 10 b. The Fund Manager - Role and responsibilities 10 c. Office of the Fund Manager 13 6. Grants 14 a. Competitive Process 14 b. Direct grants 21 c. Memorandum of Agreement 21 d. Cash flow arrangements 21 e. Audits 22 f. Exchange rates 22 g. Equipment 22 h. Project support costs 23 7. Procurement policy and process 24 8. Monitoring and evaluation 25 a. Monitoring the national situation 25 b. Monitoring Implementing Partners’ progress 25 c. Monitoring Fund’s performance 26 d. Gender issues and equity 27 9. Internal Office Management description and procedures 27 a. Staffing 27 b. Office accommodation and equipment 29 c. Financial resources 29 d. Standard Operating Procedures 30 10. Amendment to the Operational Guidelines 31 Annexes - Annex I: Fund Manager Office Organogramme - Annex II a: Model Memorandum of Agreement for Grants - NGO - Annex II b: Model Memorandum of Agreement for Grants – UN Agency - Annex III: Project Submission Format for Grant Funding - Annex IV: Guiding Principles for the provision of humanitarian assistance 3
  • 4. 1. Introduction The Three Diseases Fund (3DF also seen below as “the fund”) aims to reduce the burden of communicable diseases on the Burma/Myanmar population. It mainly supports selected activities of the HIV and AIDS, tuberculosis (TB) and malaria national programmes (NAP). In October 2006, Donors contracted UNOPS to manage the fund. While the latter has been operational since the transfer of a first donor contribution, the office of the Fund Manager (FM) became functional in Yangon on 1 April 2007 at the end of an initial bridging phase. The Donor Consortium (DC) has appointed a Fund Board (FB) to act as a working committee on behalf of the donors, and this committee has oversight of the Fund Manager. These Operational Guidelines are for use by Implementing Partners (IP) and by staff of the FM from 1 April 2007. They will be updated as implementation proceeds and as the need arises. 2. Objectives and general principles of the 3DF The overall objective of the Three Diseases Fund (3DF) is to reduce the burden of communicable disease in Myanmar. Its purpose is to resource a countrywide programme of activities to reduce transmission and enhance provision of treatment and care for HIV and AIDS, tuberculosis (TB) and malaria for the populations most in need. National Strategies for the three diseases have been developed with the following purposes: i. To reduce transmission and enhance provision of treatment and care for HIV and AIDS affected persons ii. To reduce the morbidity, mortality and transmission of TB, including among people living with HIV (PLHIV), while simultaneously preventing the further emergence of drug-resistant forms of TB iii. To reduce malaria morbidity by at least 50% by 2010 The activities supported by the fund are in line with the guiding principles for humanitarian assistance (annex IV); these target those most at risk of being affected by each of the three diseases, with a particular focus on those who have limited or no access to public health services due to geographical or security considerations, or for reasons of ethnicity, gender, stigmatisation or financial status. 1
  • 5. Resources will be disbursed through a pooled funding mechanism – the Three Diseases Fund (3DF). Pooled funds are held in a single account managed by the Fund Manager (FM) in accordance with bilateral agreements, or equivalent, between each donor and UNOPS. There is a clear distinction between the management of the 3DF and the activities being funded. The 3DF supports selected activities implemented by UN Agencies, International Non-Governmental Organisations (INGO), local NGOs and professional associations (PA), the private sector and, where appropriate and possible, local civilian administrations, to deliver and scale up provision of services relevant to the objectives of the fund. On the programme side, national Technical and Strategic Groups (TSG) – one per disease – are chaired by the Ministry of Health (MoH) with UN technical support through UNAIDS and WHO and with members drawn from a wide range of stakeholders. The TSGs are responsible for finalisation of the National Strategic Plans and for leading the development of the outcome-based country wide Operational Plans incorporating all existing Implementing Partners (IPs). A Coordination Body (CB) chaired by the Minister of Health with broad representative membership finalise Operational Plans and engage with the 3DF Board in policy dialogue.1 Based on these Operational Plans, the Fund Board (FB) seeks technical advice from the Fund Manager (FM) before deciding on priorities and on funding allocations. The Fund Manager implements the decisions of the Board, negotiates as necessary with potential implementing partners and monitors implementation. 3. Fund Governance a. Donor Consortium The Donor Consortium (DC) is the apex body in terms of the 3DF governance and has the overall responsibility for the fund’s operating policy as well as for the 3DF commitment and replenishment. The Donor Consortium has appointed a Fund Board (FB) to act as a working committee on behalf of the Donors, and this Committee has oversight of the Fund Manager and is responsible for development and oversight of the operational aspects of the fund. b. Fund Board The Fund Board (FB) has responsibility: i. To maintain a policy dialogue with the Chair of the Coordination Body 1 It is expected that such communications will normally be between the Coordination Body Chair and the Fund Bard Chair or his/her delegated representatives. Formal meetings between the CB and FB are not anticipated. 2
  • 6. ii. To assess the National Strategies, Programmes and Operational Plans as a basis for allocation of resources iii. To establish priorities within these plans iv. To identify, if necessary, additional outputs and activities v. To monitor risk assessment vi. To oversee the FM vii. To commission external mid term and final reviews of the 3DF viii. To receive 3DF reports submitted by the Fund Manager, and audit reports ix. To support the development of a communications strategy to ensure dissemination of information about the fund’s policies and achievements The FB is comprised of three donor representatives and three independent experts (with a three-year tenure). The Chief Executive Officer (CEO) of the FM acts as non-voting secretary. The FB is chaired by a senior donor representative on an annual rotational basis. FB positions are deemed to have begun in November 2006. 3
  • 7. 4
  • 8. FUND GOVERNANCE INDIVIDUAL SUPPORTING DONORS DONOR CONSORTIUM Responsible for: - Fund operating policy - Enabling/operational environment decisions DONOR - Appointing Fund Manager CONSORTIUM - Appointing Fund Board All supporting donors One permanent - Fund commitment and replenishment representative; others - Reference and reporting to the respective donors as able to attend necessary for major decisions or to seek guidance on policy issues FUND BOARD Responsible for: - Assessment of National Strategies as a basis for funding FUND BOARD - Dialogue with national coordination structures 3 donor representatives; - Identification of additional outputs/activities 3 independent experts; - Making decisions on recommendations referred by the Chair senior donor Fund Manager representative on a rotating - Receiving annual reports and audit reports basis; - Commission reviews of the fund and specific fund CEO of Fund Manager as non voting secretary activities - Monitoring risk assessment - Receipt of annual report and audit on behalf of the individual donor FUND MANAGER Responsible for: - Holding, disbursing and monitoring the FUND MANAGER performance of the fund Based in Yangon, not a - Administering grant allocation, audit and fund recipient of fund support, not a monitoring; administer competitive allocation; receive, provider of technical assess, and advise on proposals; undertake performance facilitation to strategy development or monitoring in coordination with those responsible for implementation programme monitoring and evaluation; contracting, where appropriate, independent managing agents to Independent and able to manage in a transparent way undertake procurement of commodities Senior staff appointments and budget approved by the Fund 5
  • 9. 4. Policies and priority action areas The FB determines the policies and priority action areas for fund intervention and informs the Fund Manager accordingly. The FM must inform the FB if, in the FM’s opinion, any element unknown to the board is expected to have an impact on either policies or priorities or on their implementation. Basic policies are listed below and are subject to donors’ regular adjustments. Thematic Policy Area 1.Goal To contribute to achieving the Millennium Development Goals in Myanmar by reducing the burden of communicable diseases. 2.Purpose To resource a countrywide programme of activities to reduce transmission and enhance provision of treatment and care for HIV and AIDS, TB and malaria for the most in need populations. 3.Eligible People most at risk of being affected by each of the three diseases with eecipients a particular focus on people with limited access to public health services due to geographical or security considerations, or for reasons of ethnicity, gender, stigmatisation or financial status. 4.Link to a. The FB conducts a policy dialogue with the Coordination Body on National the three diseases, and assesses National Strategies, Programmes Programmes and Operational Plans as a basis for allocation of 3DF resources. b. The FB selects priorities on the basis of national strategies and operational plans. c. The FB can identify additional activities to be resourced by the 3DF. d. Support will be framed with a longer term vision in mind. This approach is intended to pave the way for increased collaboration for sector-wide support, should circumstances permit. e. There is a clear separation (“firewall”) between mechanisms for strategy and programme development and decision making, and mechanisms for Fund management. The Board will receive technical advice from the Fund Manager on Fund priorities and on funding allocations. 5.Priority action a. Outputs that reduce transmission and enhance provision of areas treatment and care for HIV and AIDS, TB and malaria. b. Outputs that deliver and scale up the provision of health services to reduce transmission, morbidity and mortality caused by HIV and AIDS, TB and malaria. c. Outputs that prioritise support to high risk behaviour groups. d. Activities that factor in gender considerations, equity, adequate geographical coverage. e. Operational research that enhances the understanding of disease prevalence and of target groups. f. Activities that have a duration of minimum 1 year and maximum 3 years. After each year of implementation, the FM will evaluate the 6
  • 10. Thematic Policy Area performance of the IP before funding is confirmed for a second year. g. In some exceptional circumstances, activities such as studies, surveys, training or pilot phases with duration of less than 1 year. 6.Improving a. The FB wishes to strengthen the knowledge base in Myanmar in Service relation to the objectives of the Fund, accumulating understanding of Delivery the social components of the three diseases and patterns of resource distribution. b. The FB wishes to ensure that the disease programmes build upon such knowledge and related social analysis. c. The FM will proactively discuss with IPs options to improve service delivery (e.g. more inclusive programmes, extension of geographical coverage and increased collaboration between the private and public sector and NGOs). 7.Fund a. The FM is responsible for monitoring the performance of financial, Manager technical and ethical aspects of the 3DF, as well as to promote equal access. b. The FM contracts IPs on the basis of a transparent set of contractual procedures and processes for competitive grants. In some instances, direct grants are allowed. c. The FM’s performance will be measured in terms of disbursement levels, and audit comments. d. The FM will implement a communications strategy that facilitates better understanding of the fund’s policies and achievements, resulting in positive media coverage and popular opinion of the 3DF. 8.Funding a. A competitive grant allocation procedure will be used, whenever Modalities possible. On request from the FM for specific outputs/activities, interested IPs will submit work plans and budgets to the FM. b. In some specific cases, direct grants can be allocated to IPs that meet criteria as established by the FB, which include demonstrated technical competence, capacity, speed of delivery, monopoly, coherence with ongoing activities, or access to specific target beneficiaries or areas. 9. Eligible a. Specialised UN agencies, international NGOs, local NGOs, and Implementing professional associations, the private sector and community-based Partners organisations and local civilian administrations. b. IPs must address issues of equity (e.g. targeting of poorest districts and groups most at risk). c. IPs should report against specified 3DF indicators, e.g. output and outcome indicators to measure programmatic progress including aspects such as scaling up of coverage, geographic distribution, and pro poor focus and equity issues. It is understood that they will also be expected to report on indicators identified within the national strategies; the fund’s M&E system will aim for harmonisation between these. 10.Procurement a. Procurement of vehicles, furniture, medical and non medical and distribution equipments, ICT equipments, drugs, medical supplies and commodities is the responsibility of the FM, whether the 7
  • 11. Thematic Policy Area procurement is done directly through the FM or indirectly through the IPs. b. The FM must ensure that essential drugs and non-pharmaceutical medical supplies to be procured under the 3DF meets internationally recognised quality criteria. c. Existing systems of WHO, UNFPA and UNICEF, and through INGOs will continue to be the main mechanisms used for procurement of drugs and medical supplies under the 3DF. Other procurement agents may be used if necessary in the best interest of the fund. d. Existing National Programme supply chain systems used by UN agencies will be utilised by the 3DF, provided that these systems are acceptable to the FM and subject to physical access for monitoring. 11. Donor a. TSGs chaired by Ministry of Health (MoH) should have a balanced expectations of membership and participation reflecting the range of service Government providers, users and other interests. b. Countrywide Operational Plans should incorporate all existing and potentially effective IPs (Government, UN agencies, INGOs, LNGOs, CBOs, professional associations (PA), and the private sector). c. A Coordination Body (CB) chaired by the Minister of Health is expected to finalise Operational Plans and to engage with the FB in policy dialogue. d. The CB membership should be drawn from the Government, UN agencies, INGO, NGO, CBO, PA, other groups of service providers, bilateral donors (excluding donors to the 3DF), service users and other demand side groups. e. Each National Programme (NAP) will share regular progress reports with the FM to allow to monitor progress of the 3DF supported programmes towards achieving the results for national programmes. 5. Fund Management a. Funding Cycle Donors have provided and may continue to provide contributions at any time to launch and sustain the Fund. The Fund Manager prepares cash flow forecasts to help donors schedule payments, usually on an annual or half yearly basis. 8
  • 12. b. The Fund Manager - Role and responsibilities i. Overall responsibility The Fund Manager (FM) is responsible for effective, transparent and efficient management of the Three Diseases Fund on behalf of the Fund Board acting for the Donor Consortium. The Fund Manager has full delegated authority for the management of the fund within the strategy and priorities identified by the Fund Board. The United Nations Office for Project Services (UNOPS) has been selected by the Donor Consortium to act as FM. Key inputs expected from the Fund Manager are as folloes: • Funds are allocated in line with Fund Board policies in response to quality programmes developed through the coordinating mechanism established within Myanmar • Funds are held, disbursed and accounted for in a transparent and efficient manner in line with requirements of the Fund Board • Fund flow and implementing partner performance are monitored and evaluated • The Fund Board is kept informed of the development of the National Strategies and Operational Plans • Support is provided to operations research and policy development Specific responsibilities of the Fund Manager are: • Establishment of Three Diseases Fund and its effective operation • Establishment of transparent financial systems based on international best practice • Processes for direct and competitive grants established, implemented and managed transparently so that they reinforce fund priorities • Establishment and implementation of transparent procurement and distribution procedures • Policy dialogue facilitated between FB and CB • Effective working relationships established with all stakeholders and close dialogue maintained with those responsible for programme development, implementation, monitoring and evaluation • Three National Strategies and Operational Plans reviewed and commented submitted to the board • Additional activities such as operational research proposed to the Fund Board for approval, and implemented • Fund-supported actions monitoring and evaluation procedures established and implemented 9
  • 13. • Systems established to ensure opportunities for lesson learning • Communications strategy developed and implemented • Fund risk management strategy developed, implemented and monitored • Regular reporting to the Fund Board • Annual financial forecasts submitted to the Fund Board • Preparation for and participation in Fund Board meetings as secretariat To fulfill its responsibilities, the Fund Manager: • Maintains complete independence from all recipients of Fund support • Remains accountable to the Fund Board for all aspects of Fund management • Provides information to the Fund Board to enable policy and strategy development • Appoints such staff and develops such systems as may be required to effectively carry out its responsibilities ii. Advising the Fund Board The Fund Manager, when requested by the Fund Board, will support the FB to assess the selected activities of the three National Programmes proposed by the Technical and Strategic Groups (TSGs) and the Coordination body. The FM may be asked by the Fund Board to propose priorities for funding. The Fund Manager may at any time propose to the Fund Board to consider other outputs and activities. The FM should refer to the Fund Board any issue raised by the TSGs, the Coordination Body or any governmental institution concerning Fund strategy, policy dialogue and funding priorities. iii. Financial management The Fund Manager has the overall responsibility for the management of the Fund. Contributions to the Three Diseases Fund are governed by corresponding Agreements between UNOPS and the donors. Relevant current UNOPS regulations and rules apply throughout. Grants will generally be allocated through a competitive process. In some cases, direct grants can be allocated to Implementing Partners that meet criteria approved by the Fund Board. More details are provided below. The Fund Manager is responsible for managing disbursements and monitoring expenditure by grantees according to relevant contracts and work plans. In all its dealings with Implementing Partners, the Fund Manager must make it clear that disbursements by the FM are subject to availability of funds. Under no circumstances shall the Fund Manager be expected to enter into commitment in excess of funds in hand. Contracts will normally be for minimum one (1) year and 10
  • 14. maximum three (3) years. For contracts longer than one year, funding will be granted only for the first 12 months of implementation. Unless otherwise agreed in exceptional circumstances, further financial support is subject to performance evaluation and written confirmation by the Fund Manager. iv. Facilitator The Fund Manager will facilitate the development of professional relationships between stakeholders in the 3DF, and encourages practices that will ensure the smooth and effective delivery of activities supported by the fund. v. Coordination The Fund Manager will exchange information and coordinate with non–3DF funding sources, including the government of Myanmar, to prevent double-funding and overlapping and to encourage complementary effective parallel financial support. The FM will also coordinate the establishment and implementation of its Monitoring and Evaluation system, consistent with existing M&E mechanisms for the three National Programmes, but ensuring independent verification and validation. The FM will promote the exchange of technical information and experiences between Implementing Partners and with the FM so as to gradually build up knowledge, know-how and experience, and incorporate lessons learnt. Similarly, the Fund Manager will ensure that non-3DF Donors and other stakeholders are kept abreast of the progress and effectiveness of actions supported by the Fund. vi. Monitoring and reporting FM monitoring role is at three levels: • Monitoring the overall progress of the National Programmes and the global situation in Myanmar with respect to the three diseases • Monitoring the success of the Fund as against its objectives and the priorities established by the Fund Board • Monitoring the use made by Implementing Partners of resources placed at their disposal by the fund Reporting obligations for IPs are described in each specific agreement or contract. The FM will keep the Fund Board informed at all times of any development relevant to or affecting the delivery of the programme. Regular reports will be submitted to the Fund Board on schedule. Ad hoc reports can be addressed to the Board when necessary. vii. Visibility and communications 11
  • 15. Guided by the Fund Board, the Fund Manager will take all appropriate measures to publicise 3DF action and foster understanding, both nationally in Burma/Myanmar and among international audiences. To that end, the Fund Manager will design and implement, upon agreement of the Donor Consortium, an effective communications strategy and will request Implementing Partners to take similar actions with the technical support of the Fund Manager's Communications Officer. c. Office of the Fund Manager in Yangon The Fund Manager has opened an office in Yangon to facilitate the delivery of its responsibilities. The Yangon office is headed by its Chief Executive Officer (CEO), who reports to the UNOPS/APRO Regional Representative. The initial organogramme of the Yangon-based Office is provided in Annex I. It can be modified by the Fund Manager as needs evolve. Such modification must not result in any increase of the budget without prior approval of the Fund Board. 6. Grants The 3DF will use transparent processes for the determination of actions that address the priorities identified by the Fund Board. There are three stages of project development: tentative, planned and operational. A tentative project exists when the Fund Manager has identified a needed intervention either thematically, geographically or to support an identified population at risk of the three diseases. A planned project exists when 3DF resources are put to work into a Request for Expression of Interests, a Request for Proposals or into the preparation or analysis of a project proposal. The outcome of the planning process is a project approval Memorandum to the Fund Board and the award of a contract by the Fund Manager. An operational project exists after the signature of a Contract or Agreement when the contract commitment is entered in the UNOPS financial system. A project remains operational until the final report and audit is received and approved and the financial accounts closed. 12
  • 16. a. Competitive Process i. Basic principles The office of the Fund Manager is expected to comply with all regulations and rules as agreed by the Fund Board and UNOPS. The key principles that guide the analysis of project proposals are: a) Best value for money b) Fairness, integrity and transparency through competition c) Economy and effectiveness d) The interest of the 3DF and its partners b. Description of the solicitation process Allocation of grants is undertaken on the basis of competitive process unless a waiver to competition is justified. Due to the complexity of requirements Request for Proposal (RFP) is the preferred solicitation method. It is envisaged that a complete solicitation cycle from the issuance of Call for Expression of Interest to signed contracts takes from 5 to 6 months. EOI ¾ mth Evaluation of EOIs ¾ mth RFP 1 mth Evaluation of proposals 1 mth Award recommendations & approvals 1 mth Final contract negotiations 1 mth Contracts ½ mth In accordance with UNOPS financial regulations and rules, competition may be waived and proposed contracts with Implementing Partners are negotiated under the following circumstances (but not limited to): 1) There is an urgent need for the required service 2) The proposed contract relates to services from a sole source of supply 3) Requests for proposals will not give satisfactory results or are not, in the particular case, deemed in the interest of 3DF i. Call for Expression of Interest (EOI) A call for Expression of Interest (EOI) is a notice which provides general information on the requirements for proposed projects. Implementing Partners, including Consortia, if appropriate, are requested to express interest before a fixed deadline by submitting detailed information demonstrating capacity, qualifications, and experience to deliver the relevant goods and services. 13
  • 17. A call for EOI is a cost-effective method to search for and identify suitable partners. In order to support 3DF principles of transparency, fair competition and integrity of the sourcing process, it is recommended to undertake a call for EOI for all proposed projects to facilitate the selection of Implementing Partners. In some special cases, the outcome of an EOI may lead to a recommendation to allocate a direct grant instead of launching a competitive process. Calls for EOIs should at least contain the following information: • Date of the EOI and deadline for a response • Address at which replies must be received • Brief description and location of the intended project and of the nature of the services expected • General background information • Constraints and risks to be taken into account by interested partners • Clear explanation on the minimum information required evaluation criteria • Requirements related to experience and capacity: o Experience in works of a similar nature and volume and in the concerned geographic area for each of the last five years; details of work underway or contractually committed o Project planning/management capacity: CVs of key management staff o Service delivery skills and capacity on the ground (gender, years of experience, language ability of staff) The documentation required must be minimal and limited to essential information necessary for an accurate assessment. The Fund Manager assesses the information provided by interested partners, and verifies that they conform to the administrative and other requirements listed in the call. Responsive partners will be considered for inclusion on the short list of partners to be invited to submit detailed offers/proposals. Calls for EOIs are not Requests for Proposals and the Fund Manager is not obliged to invite any particular entity who has expressed interest in the 3DF to participate in a subsequent RFP processes. ii. Requests for Proposals (RFP) A Request for Proposals is used for obtaining services and goods when requirements cannot be quantitatively and qualitatively expressed in the specifications. The received proposals are evaluated, ranked and awarded according to the cumulative analysis methodology, defining best value as the overall benefit when considering both technical and financial factors. In order to ensure fairness and transparency, it is extremely important that the method of evaluation and the evaluation criteria are clearly defined in the RFP documents. 14
  • 18. The evaluations shall be conducted by an international review team contracted by the Fund Manager. The team will carry out technical and financial reviews. The Fund Manager may postpone its recommendation on proposals until certain conditions are met or clarifications obtained. A summary proposal, together with the results of the preliminary assessment and a recommendation from the Fund Manager, will be submitted to the Fund Board for approval. The Fund Board will review recommendations and may seek additional information through the Fund Manager if deemed necessary. The prospective implementing partner will be advised whether the proposal is under consideration or rejected. In some cases, if the proposal is rejected, the prospective implementing partner may be given the opportunity to submit a significantly revised proposal on the basis of negotiation with the Fund Manager. When a proposal has been accepted in principle by the Fund Board, the Fund Manager and Implementing Partner will start financial and contractual negotiations with a view to conclude an agreement. The following principles apply to RFPs: • The cost of preparing the proposals, including any related travel, is not reimbursable • Proposals received after the deadline cannot be considered • Technical evaluation takes place first. Financial evaluation is undertaken among submissions considered technically acceptable • Applicants who by their ongoing or proposed activities demonstrate religious, gender, ethnic, political or social biases cannot be considered RFPs should provide at least the following information: • Information on the 3DF, its objectives, priorities and basic principles • Priorities of the Request for Proposals • Guidelines for the Allocation of Funds • Total allocation available for the Request and minimum and maximum size of each individual grants • Minimum and maximum duration of the action • Criteria for the eligibility of applicants • Criteria for the eligibility of actions • What costs can be included in budgets, for example there will be no administration cost budget line; instead direct costs, relating to the action, can be included in the budget • Application form for the submission of Proposals • List of documentation to be provided • Where to send the Proposals and how • Deadline for receipt by the Fund Manager 15
  • 19. • Whether one prospective Implementing Partner can submit more than one Proposal under the same Request • E-mail, facsimile or other address at which questions can be sent and deadline for submission of queries and reply • A website address Information to be provided by prospective Implementing Partners should include a mandatory section setting out how the proposal meets 3DF policy requirements. Description of activities: • Current activities undertaken by the applicant in Myanmar (including source of funding) • Brief description of the activities being proposed in response to the Request for Proposals • Description of existing M&E mechanisms • Logframe, in line with outcomes and outputs of the national programme strategies and related indicators (including quantitative baselines and targets where possible) • Precise geographical area of the intervention with a map showing township and village areas served and number of beneficiaries by gender and ethnicity • If the services are being proposed in response to an especially high risk situation – information on the situation, nature of the risk, and implications if not responding at this time • Possible own in-kind or cash contributions to the action • Brief description of partners (if any) and their planned inputs and budgets; what support will be provided to/by them • Proposed start and end dates of the action and a budget (in US$) for the services proposed • Whether the prospective IP receives funds from other sources for the proposed action or for actions having a clear link therewith • General approach toward sustainability of interventions • A list of all other organizations delivering similar services in the same area if known • Whether the prospective IP plans to procure the required commodities needed for the proposed intervention through their own organization or if the IP will require the procurement services from the FM. • Description of Experience and Capacity (as per point i) Expression of Interest above) if call for Expression of Interest as a preliminary step has not been made Basic documentation: RFPs must request the following documentation: 16
  • 20. • Copies of original documents defining the Constitution or legal status, place of registration, and principal place of business (certified copies may be requested) • In case of joint venture, including of temporary association, copy of the joint venture Agreement may be requested where such an Agreement exists • Evidence of MOU or registration with the Government iii. Guidelines for the allocation of funds What follows is indicative. Each Request for Proposals will specifically indicate guidelines for allocation of funding Cross-cutting criteria: • Access: ability to ensure that assistance is provided to people who are most in need, irrespective of their origin, place of residence, social status, gender, ethnicity and religion. • Capacity building: capacity to work with and strengthen knowledge, skills, management and outreach competence of local partner organisations; in the case of clinical interventions, through health service providers at the township, district and more peripheral levels, including, if appropriate, the private sector. • Strategic planning: capacity to document a solid evidence base to validate the needs of targeted communities, the programme approach, and to assess outcomes. • Ability to support a participatory process of planning, implementation, monitoring, and evaluation involving people and communities affected by the target diseases. • Ability to mainstream gender in designing, implementation, monitoring, and evaluation recognizing the different roles, needs, and expectations of women and men. • Capacity to contribute to the scaling-up of coverage by national programmes within the framework of national strategies for the control of the three diseases. • Ability and willingness to support coordination mechanisms at relevant administrative levels. Specific criteria - HIV prevention and care i. Cross-cutting principles • Sex workers and their clients; injecting drug users, and men having sex with men, with a particular focus on young people, who are at highest risk of HIV infection 17
  • 21. • Inter-sectoral approach to activity planning and implementation, including different technical sectors and public/private sectors • Advocacy for and inclusion of people living with HIV in the design and implementation of interventions • Advocacy for and inclusion of people engaging in behaviours that make them vulnerable to HIV infection • Participatory planning approaches that engage with and build the resilience of communities to the impact of HIV and related issues, such as drug and alcohol use and transactional sex • Integration of condom promotion and distribution in activities whenever appropriate ii. Key Themes • Prevention of HIV through the promotion of behaviour change, and access to the means of protection, among women and men engaging in high-risk behaviours, who might include: o Women and men who sell sex and their regular sexual partners o Men who pay for sex and their regular sexual partners o Men who engage in male-male sexual practices o Men and women who inject drugs and their sexual partners, with an emphasis on harm reduction o Men, women and young people confined in institutions that might limit their access to routine prevention programmes o Individuals (and their families) engaging in high-risk behaviour or exposed to greater risk as a result of mobility and travel to areas of higher intensity transmission (mobile populations include migrant workers, those displaced as a result of conflict or landlessness, and uniformed service personnel) • Targeted Service Provision: either focusing on men, women or transgender people engaging in high risk behaviours and/or through routine sexual and reproductive health services delivered through fixed and mobile services: o Voluntary, confidential counseling and testing (VCCT) for HIV o Antiretroviral prophylaxis for HIV-positive pregnant women (and referral to treatment facility equipped to assess eligibility for antiretroviral treatment) o Diagnosis, treatment and prevention of STIs o Provision of antiretroviral therapy o Treatment of opportunistic infections o Integration of TB and HIV diagnosis and treatment services Specific criteria - Malaria i. Cross –cutting principles 18
  • 22. • Activity plans must be consistent with the national malaria control strategy, which emphasises early diagnosis and prompt treatment • Preference will be given to integrated approaches where case management and prevention interventions are delivered in a defined geographic area, building the technical and management capacity of local health service providers • Activities focusing on specific geographic areas must be supported by reasonable evidence for a significant burden of disease attributable to malaria • Prevention interventions employing technology must be supported by entomological evidence that they will be effective in the local environment • Activity plans should demonstrate community participation in planning and implementation, the use of inter-sectoral partnerships, strategies to ensure that the poorest and most vulnerable populations are reached, and capacity to gather relevant information to assess effectiveness ii. Key themes • Early diagnosis (using either microscopy or rapid diagnostic tests) and treatment (with Artemisinin combination therapy) • Preventive measures including o insecticide-treated bed nets o vector control, such as indoor residual spraying • Surveillance (including strengthened capacity in applied research) and epidemic response. Specific criteria - Tuberculosis i. Cross-cutting principles • Activity plans must be consistent with the national TB control strategy • Preference will be given to integrated approaches where case management and prevention interventions are delivered in a defined geographic area, building the technical and management capacity of local health service providers at township and district levels • Activity plans should demonstrate community participation in planning and implementation, the use of inter-sectoral partnerships, strategies to ensure that the poorest and most vulnerable populations are reached, and capacity to gather relevant information to assess effectiveness ii. Key themes • Consolidation, maintenance and expansion of DOTS programme to ensure high case detection and cure rates 19
  • 23. • Improved case-finding • Strengthened diagnostic capacity • Quality control • Drug supply • Supervision and follow up of patients on treatment o Community education • Awareness-raising on illness • Effective treatment-seeking behaviour • Support to patients on treatment o Development of public-private partnerships to expand the coverage of DOTS o Strengthening the monitoring of drug resistance o Improved diagnosis and treatment of people co-infected with TB and HIV o Multi-resistant TB c. Direct grants As described in the above chapter a. about funding a competitive process for all grant allocations will be undertaken unless a waiver to competition is justified. However, in some cases, direct grants can be allocated to Implementing Partners. The Fund Board approves specific parameters proposed by the Fund Manager within which it will consider waiving competitive process and allocating direct grants. In considering the allocation of direct grants, the Fund Manager must determine, in particular: - the continued eligibility of prospective Implementing Partners to receive 3DF funding; - justification for waiving competitive tendering; - the technical merit of proposals; - the financial merit of proposals (e.g. cost-effectiveness, unit costs against norms). The principles governing project content and coherence with 3DF objectives are identical whether grants are allocated under a competitive or direct grant process. d. Memorandum of Agreement A model Memorandum of Agreement is appended in Annex II. The memorandum constitutes a contract between the Fund Manager and an Implementing Agency – in the case of an INGO or of a local NGO, for the delivery by the latter of specific outputs and outcomes within set financial limits and obligations. The format for Agreements with UN entities, or with any other entities will be ruled by applicable regulations. e. Cash flow arrangements 20
  • 24. Upon signature of legally binding documents between the parties, the Fund Manager will make payments in accordance with the terms and conditions of the Memorandum of Agreement (MOA). Payments will be made in US dollars or local currency where applicable. MOAs can foresee the payment of advances according to UNOPS regulations. Final balance will be paid upon acceptance by the Fund Manager of the Implementing Partner’s final report. Requests for intermediary payments must be supported by narrative progress reports and financial reports and are contingent on approval of the reports by the Fund Manager. The normal processing “turn-around” timeframe days from the date of receipt of satisfactory reports by the Fund Manager should not exceed 10 working days for payments to be effected. Additional time may be required in cases where clarification or additional information is needed or in cases where reports are not submitted within reporting deadlines. The 3DF disbursements cannot be made to government agencies bank accounts. In-country payments to national partners will be made in local currency. International procurement payments for national partners will be made on their behalf by the Fund Manager or through an International Organization (IO, INGO) under Agreement or contract with the FM. In order to be directly resourced by the fund, the local township health authorities and other local civil administrations will have to elaborate their work plans and budgets.2 Limited areas that can be supported include: health care and service provision, supplies management, essential equipment, monitoring, supervision, coordination and training. Travel and accommodation costs incurred in the course of 3DF related work can also be covered. All activities in support of government agencies at national, Divisional/State and district level or below, must be included within the work plans and budgets of UN agencies or INGOs and such actions, including fund and commodity disbursement, will be monitored by the contracted agency. This support can include technical and management support to enable decentralised levels of civilian administrations to manage and monitor service delivery. Support to government-implemented components of the national programmes will not include staff salaries and allowances, recruitment fees, international fellowships, recurrent costs, or rehabilitation of MoH premises. Support to patients using public health facilities at Township level or below can be made for supporting the care for patients suffering of HIV, TB and malaria in the form of provision of in kind drugs, medical supplies and consumables directly related to HIV, TB and malaria care only. e. Audits 2 It is not envisaged that all townships will become IPs contracted by the FM. They must include their needs in the UN and INGOs work plans and budgets. A capacity assessment must be performed by the FM. 21
  • 25. • A yearly certified financial statement must be submitted by IPs to the FM by 30 April of the year following review. The IP shall have the Financial Statement relating to the Fund audited in accordance with the International Standards on auditing • If IPs do not have their own internationally recognised auditors, the Fund Manager will appoint external auditors to satisfy itself that the financial control systems of the IPs are sound and that the accounting returns are true records • In addition to the audit report on the Financial Statement, the auditors shall provide the IP and the Fund Manager with a management letter addressing the adequacies of the accounting and internal control systems • Terms of Reference of audits will be drawn by the Fund Manager; the cost of such audits will be charged to IP’s grant • Adverse and disclaimer opinions would result in suspension of any further disbursement to the IP by the Fund Manager until the IP satisfactorily demonstrates that issues identified have been resolved • If IPs do not submit their audited financial statement within the deadline set in their contract, the Fund Manager shall appoint an independent auditor to audit the Financial Statement of the IP. The Fund Manager may suspend disbursement of funds until such time the audit report has been received, terminate the contract and/or issue recovery orders • The Fund Manager may, at any time, check IP accounts or order a further audit of financial records by a reputable audit firm chosen by the Fund Manager. The terms of reference of audits will be drawn by the Fund Manager. The cost of such audits will be charged to the grant • In the case of IPs being UN organisations, audits will be conducted based on the UN internal/external audit procedures. f. Exchange rates UN operational rates of exchange apply. Ref. http://www.un.org/Depts/treasury/ g. Equipment Non expendable equipment purchased by IPs with Fund resources remain the property of the Fund unless otherwise provided for in the relevant Memorandum of Agreement. An inventory of non expendable equipment – i.e. items valued at US$500 or more and other attractive items – must be maintained by IPs. At the end of its involvement with the Fund, the IP will propose to the Fund Manager how such equipment should be disposed of. h. Project Support Costs Agencies contracted by UNOPS to provide services for the 3DF are eligible to receive Project Support Costs – refers to indirect costs related to implementation of the project, up to maximum of 6% of total direct costs. 22
  • 26. 7. Procurement policy and process By virtue of its raison d’être, most procurement to be undertaken with 3DF resources will be for drugs and medical supplies. The Fund Manager will ensure that essential drugs and non-pharmaceutical medical supplies to be procured under the 3DF meet internationally recognized quality criteria. The FM will develop a detailed standard operating procedure to guide IPs in procurement matters. All medicines to be placed on the market in Myanmar must be registered by the Food and Drug Administration after an evaluation of scientific documentation. Such evaluation and laboratory testing are mandatory regardless of being registered and used in other countries with stringent regulatory requirements. The evaluation process takes 6-9 months. Medicines imported by UN organizations do not require registration. Around 9,000 products are currently registered in Myanmar. FDA is also responsible for inspection of pharmaceutical manufactures to assess compliance with Good Manufacturing Practices (GMP) and for inspection of pharmacies. INGOs import medicines through the MOH and therefore also do not require registration of the medicines they import. Part of the process requesting the MOH for an import license is FDA approval. It is the MOH who imports on behalf of the INGO, not the INGO themselves. Existing National Programme supply chain systems used by UN agencies will be utilised by the 3DF, provided that there are adequate facilities for storage at the central level, these systems are acceptable to the FM, and subject to physical access for monitoring. If the above mentioned conditions are met, the Central Medical Stores Depot (CMDS) facilities can be used by UNOPS and Implementing Partners for storage. However, there seems to be no satisfactory system for distribution/transport. In granting financial support to the provision of drugs and medical supplies, the Fund Manager will consequently pay special attention to distribution and transport. Likewise a control system (inventory, supply chain, forecasting, establishing minimum reorder levels, reducing wastage and relocation of supplies when required) needs to be established, maintained and monitored. Options for procurement are: a. the Fund Manager consolidates all procurement needs for Implementing Partners (IPs) who have requested the Fund Manager to manage their procurement in their Expression of Interest submitted to the 3DF and for those who cannot demonstrate capability in handling procurement and supply management on their own. The Fund Manager then requests quotations from UNICEF, UNFPA, IDA, UNOPS or other international procurement organizations with proven track record on supply of medicines including quality assurance, and places orders with them based on quality, price (including fees for services), delivery time and 23
  • 27. performance. (MoUs/LTAs with these organizations will be established). UNOPS will distribute the medical commodities directly to IPs by contracting private freight forwarders to carry out the transport. A system of pre-qualifying freight forwarders will be used. Inventory control systems must be strengthened and maintained to enable forecasting of medical commodities based on morbidity/consumption data, to keep records of stocks at all levels of the delivery system and to reduce waste. b. Those IPs that have global supply systems in place (UNICEF, UNFPA, MSF, PSI etc.) and that are evaluated as satisfactory by the Fund Manager, may continue to procure commodities independently and in some cases also for other IPs. IPs that have been evaluated as having in place a satisfactory supply management system (storage, distribution, inventory control) in Myanmar, may continue to use this system. Procurement of items other than drugs and medical supplies (vehicles, furniture, office equipment…) will be done by Implementing Partners in accordance with their contracts with the Fund Manager. Procurement within Myanmar, whether for supplies or services, must be made from the private sector exclusively.. As is common practice, no salaries, consultancy fees or honoraria can be paid to employees of the State. Procurement undertaken by the Fund Manager for its own needs must follow the relevant UNOPS regulations and rules. 8. Monitoring and evaluation a. Monitoring the national situation The Fund Manager will monitor the status of the three diseases at national level on an ongoing basis and will keep the Fund Board informed of progress towards achieving identified results. Each National Disease Programme has its own monitoring and evaluation system and will share annual progress reports with the Fund Manager. The Fund Manager will alert the Board to any significant changes that may affect performance. The FM will also maintain an overview of implementation of the National Programmes, and will monitor overall levels of funding outside of the 3DF, relationships between partners and other stakeholders, as well as ongoing and planned activities directly relevant to the objectives of the Fund. 24
  • 28. Fund resources may be used to strengthen the national monitoring and evaluation systems if required and agreed by the Fund Board. b. Monitoring Implementing Partners’ progress Financial as well as technical monitoring of all actions supported by the Fund will be conducted systematically. Day-to-day technical monitoring will be undertaken as part of the routine responsibilities of the Public Health Officers and the M&E Officer. While monitoring will be an ongoing responsibility of the Fund Manager it may on occasion be necessary to launch external monitoring and evaluation missions to be conducted by independent consultants. The cost of such independent monitoring and evaluation missions will be charged to the Fund Manager's budget, unless otherwise agreed by the Fund Board. The Fund Manager will be responsible for identifying measurable and appropriate indicators relating to equity, gender, geographical coverage and the degree to which needs of remote and marginalised population groups are addressed, and for the monitoring of these indicators. These will constitute an integral part of the Monitoring and Evaluation system to be designed by the Fund Manager for monitoring the achievements of the Fund itself. The Fund Manager will decide on the amount and level of information required from Implementing Partners. In the interests of efficiency, mechanisms put in place to monitor the utilization of grants will be designed in such a way as to avoid over- burdening the Implementing Partners with reporting requirements. Baseline data and measurable indicators, quantified where possible, will be established at the beginning of any funded action/project generally by the IP, in line with the targets of the National Strategies for each disease, and agreed by the Fund Manager. c. Monitoring Fund’s performance Annual work plans will be submitted by the Fund Manager to the Fund Board. The work plans will describe in general terms actions intended by the Fund Manager during the period concerned and list targeted outcomes based on Fund priorities. The period covered shall be the calendar year. The Fund Manager will provide the Fund Board with regular information on the implementation of Fund action. Annual and semester implementation progress and financial reports will be submitted in both electronic and printed version not later than 30 September for the first semester of the calendar year and not later than 31 May for the full previous year. Financial reports will be submitted in US dollars. The first such reports will cover a period of at least 3 months or be submitted on time for the next deadline. Final reports will be submitted not later than six months after the end of UNOPS' involvement in the fund. Reports will be presented in such a way as to allow comparison between the initial objectives of the action, the 25
  • 29. results expected and obtained, and budget details. Implementation progress reports will include a summary and context of the action, activities carried out during the reporting period, an assessment of the work of implementing partners, difficulties encountered and measures taken to overcome problems, and achievements. The Fund Board may request intermediary reports. Reports shall be presented in English and will be deemed approved by the Donor Consortium forty-five calendar days after receipt by the Fund Board. In addition, the Fund Manager will prepare brief quarterly reports on progress towards the effective resourcing of activities to reduce transmission and enhance provision of treatment and care for HIV & AIDS, TB and malaria. In particular the FM will provide quantitative data and qualitative assessments to determine the extent to which: i. funds are allocated in line with Fund Board policies and priorities in response to disease operational plans; ii. funds are held, disbursed and accounted for in a transparent and efficient manner; iii. fund flow and Implementing Partner’s performance are monitored and evaluated; iv. the Fund supports programme development through operations research and policy advice. External evaluators commissioned by the Fund Board will undertake a mid-term review and a final evaluation of the Fund's performance. The costs thereof will be charged to the Fund Board budget. This is without prejudice to any additional evaluation missions UNOPS may wish to perform. Audits of the Fund will be undertaken in accordance with applicable UNOPS regulations. Audit reports will be communicated to the Fund Board. d. Gender issues and equity The 3DF requires that gender be incorporated into all project activities supported by the 3DF. Mainstreaming gender in 3DF Gender refers to the different way women and men, boys and girls are expected to behave, think, feel and act in a society. These expectations change over time as society changes. Gender mainstreaming is a strategy to ensure that both women’s and men’s concerns and experiences are integral to the design, implementation, monitoring and evaluation of all programmes and interventions (legislation, policies, consultations, implementation strategies). The ultimate goal is to achieve gender equality. 26
  • 30. Activities supported by 3DF target vulnerable and under-served population groups, especially those living in remote and inaccessible areas and those most at risk of the three diseases. Gender is a key determinant in the successful implementation of programmes to control the spread of each of the diseases and in the provision of treatment and care. Implementing partners need to indicate how gender relations will be addressed in their proposal and how the proposed programme will contribute to advancing gender equality. Those implementing partners intending to work at the community/village level need to indicate how and when a gender analysis will be undertaken of at least one of the proposed beneficiary communities, how the results of the gender analysis will be incorporated in the project and identify separate project goals in relation to gender equality. Key activities where gender relations can be addressed are in the appointment of members to any project decision making forums, in the selection of staff, in the implementation of any training and capacity development activities, and in the development of community awareness and training materials. All data presented in the proposal and in subsequent reports needs to be disaggregated by sex. Resources are available in Myanmar or online to assist in mainstreaming gender into your programme. They include: • The Gender Guide: An Introductory Handbook for NGO Staff, written for the Myanmar NGO Gender Group by Janice Moore, May 2006 (US$5.00 through NGO Gender Group, Yangon) • Online gender mainstreaming tools available from 3DF donor websites • UNDP Gender Manual http://www.undp.org/women/docs/gendermanualfinalBCPR.pdf HIV/AIDS • Integrating Gender into HIV/AIDS Programmes, A Review Paper, WHO, 2003 (excellent) • Gender and HIV: A Training Manual, Gender Links http://www.genderlinks.org.za/page.php? p_id=169&PHPSESSID=987caf244af5c897569b80ffca37aa27 • Operational Guide on Gender and HIV/AIDS, UNAIDS Interagency Task Team on Gender & HIV/AIDS, 2005 Malaria • Guide to Gender and Malaria Resources, Rolbackmalaria Partnership (also useful for TB) TB • Gender perspectives in health: does it matter in TB control?, Demissie M and Lindtjorn B http://www.cih.uib.no/journals/EJHD/ejhdv17- no3/94%20Meaza%20Demissie.pdf 27
  • 31. • Diwan V K, Thorson A, Winkwist W (eds) 1998, Gender and Tuberculosis: An International Research Workshop, Nordic School of Public Health, Goteborg, Sweden Equity of access to knowledge, prevention, care and treatment must be streamlined in project activities in an effort to eliminate disparities among social groups. 9. Internal Office Management description and procedures The Fund Manager has operational autonomy to manage all technical, administrative, financial, and human resources related to the disbursement of the Fund. a. Staffing Fund Manager’s Office is led by a Chief Executive Officer (CEO) appointed by UNOPS/APRO in close consultation with the Fund Board. Under the direct supervision of the Regional Director, Regional Office for Asia and the Pacific, UNOPS, the CEO is responsible for the Fund Manager's activities. S/he is accountable to UNOPS/APO for delivering expected results and for making the most effective and efficient use of resources made available by the Fund. Within the responsibilities delegated to him/her by the Fund Manager, the CEO's tasks include: i. representing the Fund Manager; ii. acting as Secretary to the Fund Board; iii. the co-ordination, monitoring and follow-up of the tasks entrusted to the Fund Manager in Myanmar; iv. internal functioning of the Office, and management of the human, technical, administrative and financial resources made available to the Office, its effectiveness and timeliness of work; v. ensuring that the Fund is managed independently and transparently, inter alia by establishing and implementing transparent procedures in accordance with UNOPS Regulations and Rules, including procurement procedures and internal regulations on the use of resources; vi. contracting independent agents if necessary to undertake specific tasks including, where appropriate, procurement, grant allocation, audit and monitoring; vii. managing grants transparently, whether competitive or direct grant have been allocated; viii. ensuring the development and implementation of an effective monitoring and evaluation system within the Fund, as well as ensuring that systems are in place for effective monitoring of the use of Fund resources; ix. preparing and providing through the Fund Manager regular financial and implementation progress reports to the Fund Board; 28
  • 32. x. ensuring an appropriate flow of information for the benefit of the Board with respect to the Fund Manager's tasks and relevant environment; xi. providing comments to the Fund Board on Fund activities in relation to the National Programme, as well as on the effectiveness of the national M&E system; xii. proposing to the Fund Board any additional outputs and activities not initially included in the National Programme but which may be necessary to ensure the effectiveness of the Fund; xiii. implementing effective risk management practices; monitoring the risk assessment matrix and reporting to the board on this at regular intervals xiv. maintaining close and frequent contacts with all national and international stakeholders; xv. guiding the development and implementation of an effective communications strategy, and ensuring Fund visibility as directed by the Fund Board; xvi. acting as a member of the Risk Management Group to be established in the context of the Fund; In addition to the CEO, Fund Manager personnel are composed of: i. One Public Health Officer (international) ii. Four Public Health National Officers (nationals) iii. One Contracts Management Officer (national) iv. Two Field Support Officers (international and national) v. One Senior Programme Assistant (national) vi. One Monitoring and Evaluation Officer (national) vii. One Procurement and Supply Chain Officer (international) viii. One Procurement and Logistics Assistant (national) ix. One Communications Officer (international) x. One Communications Assistant (national) xi. One Administration and Finance Officer (international) xii. Two Administration and Logistics Assistants (nationals) xiii. Three Finance Assistants (nationals) xiv. One Assistant to the CEO (national) xv. Two Operations Assistants (nationals) xvi. One Team Assistant (national) xvii. One Receptionist/Team Assistant (national) xviii. Four Drivers (nationals) The Fund Manager may also recruit short-term expertise as necessary and within the limits of the budget if it requires national or international short-term experts with considerable practice and specific, highly technical skills. Such expertise may be hired to provide support to the Fund Manager in any aspects of its involvement, e.g. but not limited to specific monitoring tasks, research, advice on proposals, or capacity building. When recruited nationally, expertise will be sought exclusively from non-governmental sectors. United Nations agencies can be requested to provide expertise. 29
  • 33. Personnel recruitment, salary levels, entitlements and other issues related to personnel are governed by applicable UNOPS regulations. b. Office accommodation and equipment: The office of the Fund Manager in Yangon is adequately equipped. Additional equipment may be considered on a case by case basis. Office space is rented from the private sector. Vehicles have been or can be purchased or hired within budget limits to ensure personnel mobility and security. Vehicles must be used for official purposes only. The equipment purchased by the Fund Manager remains the property of the Fund. At the end of its involvement with the Fund, the Fund Manager will propose to the Fund Board how such equipment should be disposed of. An inventory of non-expendable items – items valued at US$500 or more and other attractive items (i.e that have re- sale value) – must be maintained by the Fund Manager. c. Financial resources: The Fund Manager is entirely funded by the Donor Consortium. No contribution from the Government of the Union of Myanmar will be sought or received. Budget revisions must be approved by the Fund Manager if they exceed 10% variation within any of the main budget headings or if the overall total of the budget increases The Fund Manager may seek the advice/endorsement of the Fund Board on an ad hoc basis To be eligible, direct costs must be necessary for carrying out the action, be provided for in the budget, and comply with the principles of sound management, in particular value for money and cost-effectiveness. The costs must be identifiable, backed by originals of supporting evidence, and verifiable. The following direct costs, in particular, are eligible: - the cost of personnel assigned to the Fund Manager's office, corresponding to actual salaries plus social security charges and other remuneration-related costs as per UN practice; - travel and subsistence costs for the Fund Manager staff provided they do not exceed those normally borne by the United Nations; - purchase costs of equipment; - purchase costs of goods and services (transport, storage, rental of equipment, etc…) for the Fund Manager's Office; - costs of utilities, consumables and supplies; - expenditure on contracting; - costs deriving from the requirements of the Fund (dissemination of information, monitoring, evaluating, attendance to meetings, reporting, translation, reproduction of documents, insurance, targeted training for staff involved, financial service costs). 30
  • 34. The following costs are not considered eligible: - purchases of land or buildings; - taxes, duties and charges unless UNOPS is not able to reclaim them. Unless otherwise mentioned in the agreement establishing the Trust Fund or in UNOPS/Donors Agreements, UNOPS regulations apply to financial management. In particular, but not exclusively, UNOPS keeps accurate and regular records and accounts of the Fund Manager's action. UNOPS' accounting regulations and rules shall apply. Financial transactions and financial statements are subject to the UN internal and external auditing procedures. A copy of the audited financial statements shall be submitted to the Fund Board. UN operational rates of exchange will apply. d. Standard Operating Procedures: The development of Standard Operating Procedures for each of the Fund Manager’s Units (procurement, monitoring and evaluation, administration and finance, health) is the responsibility of the Head of each Unit under guidance from the CEO and in consultation with stakeholders. 10. Amendments to the Operational Guidelines The present Operational Guidelines can be amended by the Fund Manager. Any revision that may affect institutional arrangements, including the terms of reference of the Fund Manager, needs formal approval from the Board. 31

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