Operational Guidelines

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  • 1. Three Diseases FundOperational Guidelines for the Implementing Partners and the Fund ManagerUpdate 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, MyanmarTel: +95-1-534498, tel/fax: 504832, info@3dfund.org

2. Abbreviations and acronymsAIDS Acquired Immunodeficiency Syndrome APRO Regional Office for Asia and the Pacific (UNOPS) CB Coordination Body CBOCommunity Based Organization CEOChief Executive Officer CMDS Central Medical Stores Depot CV Curriculum Vitae DC Donor Consortium DOTS Directly Observed Treatment Short-course 3DFThree Diseases Fund EOIExpression of Interest FB Fund Board FM Fund Manager FECForeign Exchange Certificate FDAFood and Drug Administration FHAM Fund for HIV/AIDS in Myanmar GMPGood Manufacturing Practices GFATMGlobal Fund to Fight HIV/AIDS, Tuberculosis and Malaria HIVHuman Immunodeficiency Virus INGO International Non-Governmental Organization IP Implementing Partner ICTInformation and Communication Technology IO International Organization IDAInternational Development Assistance LTALong Term Agreement LNGO Local Non-Governmental Organization M&EMonitoring and Evaluation MoAMemorandum of Agreement MoHMinistry of Health MoUMemorandum of Understanding MSFMdecins Sans Frontires NAPNational Programme (for each disease) PA Professional Association PLHIVPeople/persons Living with HIV* PSIPopulation Services International RFPRequest for Proposals ST Sexually Transmitted Infections TB Tuberculosis TSGTechnical and Strategic Group UNOPSUnited Nations Office for Project Services UN United Nations UNAIDS Joint United Nations Programme on HIV/AIDS UNFPAUnited Nations Population Fund UNICEF United Nations Childrens Fund VCCT Voluntary, Confidential Counseling and Testing WHOWorld 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 FundOperational GuidelinesTable of Contents1. Introduction3 2. Objectives and general principles 3 3. Fund Governance 4 4. Policies and priority action areas7 5. Fund Management10a. Funding Cycle 10b. The Fund Manager - Role and responsibilities10c. Office of the Fund Manager13 6. Grants 14a. Competitive Process 14b. Direct grants 21c. Memorandum of Agreement 21d. Cash flow arrangements21e. Audits22f. Exchange rates22g. Equipment 22h. Project support costs 23 7. Procurement policy and process 24 8. Monitoring and evaluation25a. Monitoring the national situation 25b. Monitoring Implementing Partners progress25c. Monitoring Funds performance 26d. Gender issues and equity27 9. Internal Office Management description and procedures27a. Staffing27b. Office accommodation and equipment29c. Financial resources 29d. 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 assistance3 4. 1. IntroductionThe 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 3DFThe 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 forHIV and AIDS affected personsii. To reduce the morbidity, mortality and transmission of TB, includingamong people living with HIV (PLHIV), while simultaneously preventingthe further emergence of drug-resistant forms of TB iii. To reduce malaria morbidity by at least 50% by 2010The 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.1Based 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 ConsortiumThe Donor Consortium (DC) is the apex body in terms of the 3DF governance and has the overall responsibility for the funds 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 BoardThe Fund Board (FB) has responsibility:i. To maintain a policy dialogue with the Chair of the Coordination Body1It 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 resourcesiii. To establish priorities within these plansiv. To identify, if necessary, additional outputs and activities v. To monitor risk assessmentvi. To oversee the FM vii. To commission external mid term and final reviews of the 3DFviii. To receive 3DF reports submitted by the Fund Manager, and audit reportsix. To support the development of a communications strategy to ensure dissemination of information about the funds policies and achievementsThe 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 GOVERNANCEINDIVIDUAL SUPPORTING DONORSDONOR CONSORTIUM Responsible for: - Fund operating policy - Enabling/operational environment decisionsDONOR- Appointing Fund ManagerCONSORTIUM - Appointing Fund Board All supporting donorsOne permanent- Fund commitment and replenishment representative; others- Reference and reporting to the respective donors as able to attendnecessary for major decisions or to seek guidance on policy issuesFUND 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/activities3 independent experts; - Making decisions on recommendations referred by theChair senior donor Fund Manager representative on a rotating- Receiving annual reports and audit reportsbasis; - Commission reviews of the fund and specific fundCEO of Fund Manager as non voting secretaryactivities - Monitoring risk assessment - Receipt of annual report and audit on behalf of the individual donorFUND MANAGER Responsible for: - Holding, disbursing and monitoring theFUND MANAGERperformance of the fund Based in Yangon, not a- Administering grant allocation, audit and fund recipient of fund support, not amonitoring; administer competitive alloca