Stop TB Workshop, Geneva 15-18 May 2006
Stop TB Workshop
Proposal preparation Information for the Global Fund's Round 6 Call for Proposals
Unit 7 – Program Activities: The Budget & Work Plan
Geneva, 16 May 2006
Stop TB Workshop, Geneva 15-18 May 2006
Presentation outline – 5 topics
1. Inter-Relationship of Budget & Work Plan(a) Round 6 – emphasis on robust gap analysis: section 4.5
(b) Effectively documenting a strategy: section 4.6.6
(c) Tools for Round 6 usage(d) Importance of effective gap analysis
2. Evolution from proposal to Grant amount
3. Health Systems Strengthening (HSS)(a) Round 6 within a disease component(b) Impact of cross-cutting HSS activities on budgets ?
4. Common funding mechanisms
5. Proposal Form – Budget requirements
Stop TB Workshop, Geneva 15-18 May 2006
1(a). Gap Analysis: Key concept for strong proposals
Global Fund support meets demonstrated gaps (Section 4.5)
A logical, systematic approach is required to determine:
1st What is the programmatic gap to be filled?
2nd What financial resources are already available?
- non Global Fund sources +
- Global Fund sources
3rd Then identify the financial gap – Table 4.5.1-3
Stop TB Workshop, Geneva 15-18 May 2006
1(b). Work Plan Requirements – Yr 1 & 2
• Section 4.6 Component Strategy
Identifies that Work plans must be:
• Highly detailed for Yr 1, divided into quartersand Indicative for Yr 2 (and fully in line with the 2 Yr budget)
• Structured in line with the overall strategy – (i.e., the same goals, Objectives, SDAs, activities)
• Fully consistent with the "Targets & Indicators Table”
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1(c). Gap Analysis – Tools for Applicants
One size clearly doesn't fit all
1. Country circumstances will determine "gaps"
2. CCMs determine priorities
However, some tools include:
Multi-agency M+E Toolkit – January 2006
HSS "Health Metrics Network" for M+E & HIS gaps
Proposal Form & Guidelines themselves
FAQ on Global Fund Website (see "Tools" Q&A # 100)
Stop TB Workshop, Geneva 15-18 May 2006
1(d). Why effective gap analysis matters ?
From earlier rounds, the TRP has noted all too frequently:
• An absence of highly detailed budgets for Yr 1 & 2 (including all relevant assumptions, units and unit costs)
• Inconsistencies between the Work Plan & component strategy – Goals, Objectives, SDAs and activities.
• Budgets are not linked to the Yr 1 and 2 Work Plans (although precise formats for the Budget & Work plan are not mandated – countries to follow existing systems where present)
From the Round 6 Guidelines for Proposals (Part 2, p.1) Proposals that do not have detailed budgets and work plans that support the proposed interventions from a programmatic and financial feasibility perspective are very difficult to review and recommend for funding.
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2. Evolution from 'Proposal' to GrantIntroduction
• Budget Section - basis for all financial Qs from GF
• Proposals disclose budgets for up to 5 years – Years 1 & 2 will form the Phase 1 (initial 2 year) grant
– The full proposal budget will define the maximum Phase 2 amount
• Budgets are typically for 5 years
– May be for less (e.g. 2, 3 or 4 years – depends on "gap")
• Budgets – per component
3 components in Round 6 = 3 x 2 year detailed budgets
Also – 3 x Y3, Y4 & Y5 summary budgets based on key assumptions
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Budget Request Grant Funds Hypothetical USD Example
Proposal Budget – Years 1 & 2 $10 m
TRP review
Board conditional approval $10 m (Phase 1 ceiling)
TRP adjustments - $1 m
2nd Adjustment in grant negotiations - $0.5 m
Signed grant $8.5 m for Years 1&2
2(a). Proposal Request Grant Amount
Years 1 & 2 must have detailed budgets
Stop TB Workshop, Geneva 15-18 May 2006
2(b). Phase 1 Grant Year 5 Grant (Phase 2)
Importantly • Phase 2 is conditional on: Performance and Availability of funds
• Phase 2 may be reduced from possible maximum e.g. down to $18 m
Budget for Years 3-5 are important. However, can be less detailed.
Example (cont’d) Proposal Phase 2 amount
Total original proposal amount for 5 years
Less
Adjusted in Phase 1
=
Maximum for Full Proposal term
Less
Utilized in Phase 1
$21.5 m (Phase 2 ceiling)
$28.5 m
-$1.5 m
$30 m
-$7.0 m
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2(c). General Guidance on some budget aspects
Budget duration • Up to a maximum of 5 years
• Shorter period where program duration is less
• GF allocates funds for first 2 years – Phase 1
• Funding for "Phase 2" - subject to Performance and Resources
Size of request • No fixed upper limits
• Absorptive capacity an important factor
• TRP may view excessive requests negatively
• TRP also may view negatively small projects
Budget currency • Either US$ or € only
• All figures in proposal must be same 1 currency
• Identify:
– Exchange rates & source of rate
– Proportion of budget in local currency
– Assumptions related to inflation
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3. Health Systems Strengthening (HSS) Overview for Round 6
• Round 6 – No separate HSS component
• Applicants should integrate HSS within disease component(s)
• HSS activities should be:– Identified and costed (Guidelines provide example)
– Linked to the disease component
– Strengthening other pre-existing interventions
• HSS activities may be:– Disease specific (e.g. Malaria only) or
– Straddling 2 or more components (e.g. HIV/AIDS and TB)
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3(a). HSS: Cross-cutting activities in R6
Cross-cutting HSS – What is it? An HSS activity relevant to more than one disease component
required in order to support each of the disease components.
Example: Acquisition of microscopes for a lab that will jointly support TB and
HIV components
How to apply: Either all costs in one component (e.g. TB) or costs shared
between benefiting components (e.g. TB and HIV)
Challenge: What if one component is not approved?
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3(b). HSS: Additional R6 Budget Information Needs
If funding request includes cross-cutting HSS the applicant should complete the HSS Information Sheet
This requires applicants to identify:
Components which include cross-cutting HSS activities/budgets
Value of cross-cutting HSS budgets (in US$ or Euro)
Components that depend on cross-cutting HSS in another component.
For all dependent components – disclose HSS activities/budget necessary if “host” component not approved
Stop TB Workshop, Geneva 15-18 May 2006
4. Common funding mechanisms
• GF supports funding through common funding mechanisms (CFMs), e.g. SWAp, pooled funding etc.
• In such cases budgets should be based on CFM
• Need to identify:
– Budget attributed/allocated to GF sources
– Incremental results attributed to GF sources
• Reporting/budgetary framework will inevitably reflect CFM.
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5. Overview – Budgets & requirements
• "Cutting" the Budget 4 ways how & why?
• Key elements of detailed budgets
• Potential tools - if detailed budgets are not already available
Planning for some of the key budget requirements
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5.1 "Cutting" the budget 4 ways
Budget Analysis & Summary
Sections 5.1 to 5.6 Inclusive – to be provided within
the Proposal Form
Proposal Form – Required Outputs
Table 5.6: Byfunctional area
Detailed budget & assumptions
Section 5.2 – to beProvided in Excel
Format as an Annex Table 5.1: By cost category
Table 5.4:By SDA
Table 5.5: Bypartner allocation
Section 5 - Proposal Form identifies the
minimum requirements
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5.2 So, in greater detail…
Section Budget breakdown Unit5.1: Component budget summary
By cost category: Human resources, Infrastructure and equipment, Training, Commodities and products, Drugs, Planning and administration…
$/€
5.4: Service delivery area
By SDA: Should match the Targets and Indicators Table (Attachment A to Proposal Form)
$/€
5.5: Implementing entities
By partner allocation: Academic/educational, Government, Nongovernmental/community-based, Private sector, Religious/faith-based, multi-/bi-lateral development partners.
%
5.6: Functional areas
By 3 functional areas: Monitoring and evaluation/ Procurement and supply management/ Technical and management assistance.
$/€
+ Detailed budget and work plan
Stop TB Workshop, Geneva 15-18 May 2006
5.3 Detailed budgets – key elements
a) Structured along the same lines as component strategy reflecting the same goals, objectives, service delivery areas & activities.
b) Highly detailed for Y1 & 2 (Phase 1 grant term) • all key assumptions, e.g., details of all material unit items and unit costs• consistent with assumptions & explanations elsewhere in Budget Section.
c) Summarized budget information & assumptions for rest of proposal (typically Yrs 3 to 5, or "Phase 2")
d) Fully accurate & integrated with the highly detailed Yr 1 W'Plan
e) In full agreement with all summary budgets provided elsewhere
Strong, accurate budgets should meet the following minimum criteria (section 5.2):
Stop TB Workshop, Geneva 15-18 May 2006
5.4 Budget Analysis - Tools for applicants
• Proposal Form requests various analyses of budget (e.g. by category, by recipient, by SDA etc.)
• Guidelines include a “Template” that may assist analysis
• Not a substitute for Detailed Component Budget…
• …but a possible linking tool
• Tool comes with instructions
Attachment 5 to Guidelines: Budget Analysis Template
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5.5 Budget Analysis - Worked Example
HR T IE CP PA Drugs
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level 70 100 35,000 35,000
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORS
Unit Cost Total Costs
Cost Category
Objectives / Service Delivery Areas (SDAs)Quantity/
Units
Govt NGO AcademiaFaith
Based
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level 70 100 35,000
Implementing Agency
Private Sector
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORS
35,000
Unit Cost Total CostsObjectives / Service Delivery Areas (SDAs)Quantity/
Units
Same $35,000. Merely different ways to “cut” the budget to help complete section 5
Q1 Q2 Q3 Q4
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level 70 100 35,000 10,000 15,000 10,000
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORSUnit Cost Total Costs
Year 1 Budget by Quarter
Objectives / Service Delivery Areas (SDAs)Quantity/
Units
Total Costs
35,000
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5.6 Budget Analysis - Worked Example detail
• Activities Sub-activities• These should be linked to the Work Plan
Q1 Q2 Q3 Q4
SDA 1: Youth Education and Prevention
Activities:Train peer educators at national level 70 100 35,000 10,000 15,000 10,000Sub-Activities:Design training module 5,000Recruit/train the trainers 5,000Undertake step 1 training (100 people x 150) 15,000Undertake step 2 training (100 people x 100) 10,000
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORSUnit Cost Total Costs
Year 1 Budget by Quarter
Objectives / Service Delivery Areas (SDAs)Quantity/
Units
Total Costs
35,000
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Concluding comments
• Support CCM by providing the necessary: – Programmatic & technical skills for effective "gap analysis"– Budgeting skills to help smaller projects into the one proposal
• Recognize the need for budgets which are:– Highly detailed– Supported by all key assumptions (too much information is better than not enough)
– Linked to a detailed work plan and performance measures
• Level of sophistication may vary depending on:– Size of funding request– Nature of interventions – e.g. Prevention/Treatment
• Build budgets from ground up (gap analysis):Activities► SDAs ►Objectives ►GF Request
Stop TB Workshop, Geneva 15-18 May 2006
More information…
Beyond today's presentation:
1. Please read the Proposal Form and Guidelines fully;
2. Consult the "FAQ" on the Global Fund website;
3. Consult other relevant tools and links on the Global Fund website.
4. Always liaise with a Coordinating Mechanism whenever one exists.
Stop TB Workshop, Geneva 15-18 May 2006
Questions?
Stop TB Workshop, Geneva 15-18 May 2006
Appendix
Stop TB Workshop, Geneva 15-18 May 2006
Component Budget – Section 5.1
The budget categories are defined in the Guidelines
Funds requested from the Global Fund (in Euro/US$)
Year 1 Year 2 Year 3 Year 4 Year 5 Total
Human resources 0
Infrastructure and equipment 0
Training 0
Commodities and products 0
Drugs 0
Planning and administration 0
Other (please specify)
0
Other (please specify)
0
Other (please specify)
0
Total funds requested from the Global Fund
0 0 0 0 0 0
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Budget breakdown by SDA
Budget allocation per SDA (in Euro/US$)
Objectives Service delivery area Year 1 Year 2 Year 3 Year 4 Year 5
Total: 0 0 0 0 0
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Budget Analysis – Summary of key assumptions
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level5 days national level workshop Praticipants 70 5 100 35,000
Provide life-based HIV/AIDS education in schools 1 day training in 20 schools Schools 20 1 3,000 60,000
Conduct KAP baseline survey 1 baseline survey Study 1 1 20,000 20,000
Conduct peer education outreach in districts2 days workshop at 12 districts Participants 600 2 60 72,000
Monitoring and evalaution 3 days supervision Supervisors 2 3 100 600
SDA 1 Total 187,600
SDA 2: Behavioural change communication - mass media
Activities:
Conduct TV Spots 50 TV Spots TV Spots 50 1 200 10,000
Print T-Shirts 5000 T-shirts for 12 districts T-shirts 5,000 1 10 50,000
Monitoring and evalaution 2 days supervision Supervisors 2 2 100 400
Technical assistanceConcept design, pretesting etc Consultancy 1 1 10,000 10,000
SDA 2 Total 70,400
OBJECTIVE 1 TOTAL 258,000
SDA 1: Antiretroviral Treatment and Monitoring
Activities:
Purchase and distribute ART Drugs1 year supply for 2000 patients Patients 2,000 1 200 400,000
Procurement assistance Outsourced services Consultancy 1 1 50,000 50,000
Technical assistance Laboratory services Consultancy 1 1 40,000 40,000
Monitoirng and evaluation 5 days/week supervision Supervisors 10 260 40 104,000
SDA 1 Total 594,000
OBJECTIVE 2 TOTAL 594,000
SDA 1: Health System Strengthening
Activities:
Human Resource Development Staff incentives Program Staff 25 12 400 120,000
Infrastructural development 5 pick up vehicles Vehicles 5 1 20,000 100,000
Central administration Office running activities Fuel, stationery 1 12 3,000 36,000
SDA 1 Total 256,000
OBJECTIVE 1 TOTAL 256,000
TOTAL PROGRAM COSTS 1,108,000
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORS
Objectives / Service Delivery Areas (SDAs)Quantity/U
nitsInput descriptionMeasurement
unit
OBJECTIVE 2: EXPAND ACCESS TO CARE AND MONITORING
FrequencyUnit Cost Total Costs
OBJECTIVE 3: STRENGTHEN PROGRAMME MANAGEMENT
Example – Year 1
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Budget Analysis – cost categories
HR T IE CP PA Drugs
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level 35,000 35,000
Provide life-based HIV/AIDS education in schools 60,000 60,000
Conduct KAP baseline survey 20,000 20,000
Conduct peer education outreach in districts 72,000 72,000
Monitoring and evalaution 600 600
SDA 1 Total 187,600 600 167,000 0 0 20,000 0
SDA 2: Behavioural change communication - mass media
Activities:
Conduct TV Spots 10,000 10,000
Print T-Shirts 50,000 50,000
Monitoring and evalaution 400 400
Technical assistance 10,000 10,000
SDA 2 Total 70,400 10,400 0 0 60,000 0 0
OBJECTIVE 1 TOTAL 258,000 11,000 167,000 0 60,000 20,000 0
SDA 1: Antiretroviral Treatment and Monitoring
Activities:
Purchase and distribute ART Drugs 400,000 400,000
Procurement assistance 50,000 50,000
Technical assistance 40,000 40,000
Monitoirng and evaluation 104,000 104,000
SDA 1 Total 594,000 194,000 0 0 0 0 400,000
OBJECTIVE 2 TOTAL 594,000 194,000 0 0 0 0 400,000
SDA 1: Health System Strengthening
Activities:
Human Resource Development 120,000 120,000
Infrastructural development 100,000 100,000
Central administration 36,000 36,000
SDA 1 Total 256,000 120,000 0 100,000 0 36,000 0
OBJECTIVE 1 TOTAL 256,000 120,000 0 100,000 0 36,000 0
TOTAL PROGRAM COSTS 1,108,000 325,000 167,000 100,000 60,000 56,000 400,000
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORS
Objectives / Service Delivery Areas (SDAs)
OBJECTIVE 2: EXPAND ACCESS TO CARE AND MONITORING
Total Costs
OBJECTIVE 3: STRENGTHEN PROGRAMME MANAGEMENT
Cost Category
Example – Year 1
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Budget Analysis – implementing agencies
Govt NGO Academia Faith BasedPrivate Sector
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level 35,000 35,000
Provide life-based HIV/AIDS education in schools 60,000 30,000 30,000
Conduct KAP baseline survey 20,000 20,000
Conduct peer education outreach in districts 72,000 36,000 36,000
Monitoring and evalaution 600 600
SDA 1 Total 187,600 36,000 30,000 20,600 30,000 71,000
SDA 2: Behavioural change communication - mass media
Activities:
Conduct TV Spots 10,000 5,000 5,000
Print T-Shirts 50,000 50,000
Monitoring and evalaution 400 400
Technical assistance 10,000 10,000
SDA 2 Total 70,400 5,000 5,000 10,000 0 50,400
OBJECTIVE 1 TOTAL 258,000 41,000 35,000 30,600 30,000 121,400
SDA 1: Antiretroviral Treatment and Monitoring
Activities:
Purchase and distribute ART Drugs 400,000 400,000
Procurement assistance 50,000 50,000
Technical assistance 40,000 40,000
Monitoirng and evaluation 104,000 52,000 52,000
SDA 1 Total 594,000 452,000 52,000 0 0 90,000
OBJECTIVE 2 TOTAL 594,000 452,000 52,000 0 0 90,000
SDA 1: Health System Strengthening
Activities:
Human Resource Development 120,000 30,000 30,000 30,000 30,000
Infrastructural development 100,000 60,000 40,000
Central administration 36,000 18,000 18,000
SDA 1 Total 256,000 108,000 88,000 30,000 30,000 0
OBJECTIVE 1 TOTAL 256,000 108,000 88,000 30,000 30,000 0
TOTAL PROGRAM COSTS 1,108,000 601,000 175,000 60,600 60,000 211,400
OBJECTIVE 2: EXPAND ACCESS TO CARE AND MONITORING
Total Costs
OBJECTIVE 3: STRENGTHEN PROGRAMME MANAGEMENT
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORS
Objectives / Service Delivery Areas (SDAs)
Implementing Agency
Example – Year 1
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Budget Analysis – link to work plan
Total Costs
Q1 Q2 Q3 Q4
SDA 1: Youth Education and Prevention
Activities:
Train peer educators at national level 35,000 35,000 35,000
Provide life-based HIV/AIDS education in schools 60,000 20,000 20,000 20,000 60,000
Conduct KAP baseline survey 20,000 20,000 20,000
Conduct peer education outreach in districts 72,000 36,000 36,000 72,000
Monitoring and evalaution 600 200 200 200 600
SDA 1 Total 187,600 56,200 111,200 20,200 0 187,600
SDA 2: Behavioural change communication - mass media
Activities:
Conduct TV Spots 10,000 10,000 10,000
Print T-Shirts 50,000 25,000 25,000 50,000
Monitoring and evalaution 400 200 200 400
Technical assistance 10,000 10,000 10,000
SDA 2 Total 70,400 45,200 25,200 0 0 70,400
OBJECTIVE 1 TOTAL 258,000 101,400 136,400 20,200 0 258,000
SDA 1: Antiretroviral Treatment and Monitoring
Activities:
Purchase and distribute ART Drugs 400,000 400,000 400,000
Procurement assistance 50,000 50,000 50,000
Technical assistance 40,000 40,000 40,000
Monitoirng and evaluation 104,000 34,667 34,667 34,667 104,000
SDA 1 Total 594,000 0 524,667 34,667 34,667 594,000
OBJECTIVE 2 TOTAL 594,000 0 524,667 34,667 34,667 594,000
SDA 1: Health System Strengthening
Activities:
Human Resource Development 120,000 30,000 30,000 30,000 30,000 120,000
Infrastructural development 100,000 100,000 100,000
Central administration 36,000 9,000 9,000 9,000 9,000 36,000
SDA 1 Total 256,000 39,000 139,000 39,000 39,000 256,000
OBJECTIVE 1 TOTAL 256,000 39,000 139,000 39,000 39,000 256,000
TOTAL PROGRAM COSTS 1,108,000 140,400 800,067 93,867 73,667 1,108,000
OBJECTIVE 2: EXPAND ACCESS TO CARE AND MONITORING
Total Costs
OBJECTIVE 3: STRENGTHEN PROGRAMME MANAGEMENT
OBJECTIVE 1: PROMOTE SAFE SEXUAL BEHAVIORS
Year 1 Budget by Quarter
Objectives / Service Delivery Areas (SDAs)
Example – Year 1