OPERATION MANUAL JANUARY 31, 2013 (UPDATED APRIL 24, 2020) 1 ABBREVIATIONS AND ACRONYMS AIS Activity Initiation Summary BETF Bank-executed trust fund CD World Bank Country Director CDM Concept Review Decision Memo CfP Call for Proposals CMU World Bank Country Management Unit CSO Civil society organization FO Finance officer within CTRLD GAC World Bank’s Governance and Anticorruption Strategy GPSA Global Partnership for Social Accountability IAF Integrated Assessment Framework ICT Information and communications technologies IEG Independent Evaluation Group ISDS Integrated Safeguards Data Sheet KP GPSA Knowledge Platform for Social Accountability K&L Knowledge and learning M&E Monitoring and evaluation MDTF Multi-donor trust fund MNA Middle East and North Africa Region PAS Procurement-accredited staff RETF Recipient-executed trust fund RF GPSA Results Framework RoE GPSA Roster of Experts ROR Results-oriented Reports SAcc Social Accountability SAR World Bank South Asia Region SC GPSA Steering Committee SMU Sector Management Unit TFU Trust Fund Proposal TTL Task Team Leader WBI World Bank Institute 2 Contents 1. GPSA Overview ....................................................................................................................................................................... 4 2. General Features of GPSA Grants Provided Trough ................................................................................................. 6 3. GPSA Grant Application Review and Selection Process .......................................................................................... 7 4. GPSA Grant Appraisal/Negotiation/Final Approval ............................................................................................... 11 5. GPSA Grant Implementation Arrangements ............................................................................................................ 15 6. Other operational features of GPSA RETF Grants .................................................................................................. 17 6.1 Disclosure Requirements and Access to Information Policy................................................... 17 6.2 Fraud, Corruption, and Sanctions ........................................................................................... 17 7. ANNEXES................................................................................................................................................................................. 19 Annex 7.1 – Opt-in Letter ............................................................................................................. 19 Annex 7.2 – GPSA Envelope Calculation....................................................................................... 19 Annex 7.3 - Governance and Institutional Arrangements of the GPSA ........................................ 21 Annex 7.4 - Selection Criteria for Steering Committee Civil Society Representatives .................. 26 Annex 7.5 – Results Framework ................................................................................................... 29 3 Introduction 1. The purpose of this Operational Manual is to provide technical guidance to operational teams within the World Bank and to external partners on the implementation of grants from the Global Partnership for Social Accountability (GPSA). The GPSA Operational Manual (OM) outlines streamlined project processing procedures applicable to all GPSA recipient-executed trust fund grants subject to the June 2012 World Bank Board Paper and Resolution establishing the GPSA and World Bank OP/BP 14.40, Trust Funds. The Secretariat revised the January 2013 GPSA OM to reflect new processes (e.g., eliminating procedural redundancies) to gain efficiencies in the GPSA Grant Making Process. The revised June 2014 GPSA OM was developed in consultation with and endorsed by the World Bank’s OPCS and LEG Departments, as well as the GPSA Steering Committee. 2. The GPSA OM is organized in six sections: Section 1-- provides an overview of GPSA’s objectives and components, as well as the scope of activities under each component; Section 2-- presents the general features of GPSA RETF grants, including eligibility criteria for CSOs, “opt -in” country status, and the use of Calls for Proposals (CfP); Section 3-- describes the GPSA grant application review and selection process; Section 4-- outlines the GPSA Grant Appraisal/Negotiation/Approval structure; Section 5--describes GPSA grant implementation arrangements; Section 6-- includes other operational features of the GPSA RETF grants; and Section 7-- contains Annexes with supporting documents. 1. GPSA Overview 3. The GPSA was designed to complement ongoing World Bank efforts to increase the effectiveness and impact of country-led governance and development reforms, supported by a wide range of actors. As described in the GPSA Board Paper, its creation “is expected to improve harmonization of support for social accountability as other development partners and civil society groups contribute to GPSA goals. The GPSA would seek to build on these efforts and avoid replacing or duplicating what others, both within and outside the World Bank, are already doing”1. 4. GPSA’s key objective is thus “to provide more strategic and sustained support to CSOs’ efforts to reflect the voice of beneficiaries, promote greater transparency and accountability, and achieve stronger development results.” 2 Accordingly, GPSA activities support the collaboration of civil society organizations and governments to solve critical governance challenges in World Bank client countries. To meet this objective, the GPSA program is divided into two components: 5. Component 1: Programmatic support to CSOs for social accountability (SAcc) . This component awards grants to CSOs working in countries that have “opt in” to GPSA. Four types of support are covered under this component: (1) SAcc initiatives undertaken by CSOs to strengthen transparency and accountability; (2) up to 100 percent of core funding (operating costs) to support institutional development of CSOs working on SAcc; (3) recipient-executed grants for mentoring nascent CSOs working on SAcc; and (4) World Bank-executed grants for technical assistance and capacity-building on SAcc. 1 Board Paper, op.cit, para. 23, p. 10. 2 Ibid, Executive Summary, para. 2. 4 6. Component 2: Knowledge Activities. Two types of support are covered under this component: (1) additional knowledge and learning (K&L) activities complementing those financed under Component 1; and (2) a Knowledge Platform for SAcc (KP) developed and managed by the GPSA Secretariat, to include targeted support for knowledge-generation and exchange activities, as well as strengthening of practitioners’ networks and communities of practice at the regional and global levels. 7. In addition, GPSA may provide strategic capacity building and knowledge grants outside the usual call for proposals to national and international CSOs to enhance the capacity of grant recipients for effective implementation of proposed activities and to learn from those experiences. In this context, the GPSA would support (a) CSOs in countries where there is not yet strong expertise on social accountability (and in which there may be no CSOs with a track record of social accountability work); and (b) newly established CSOs, or CSOs with low capacity. 8. Table 1 below summarizes GPSA’s areas of support as organized under the above components: Table 1: GPSA’s Support Areas by Components Components Objective Scope of Support Execution Type (CSO/WB) Programmatic - Support CSOs’ SAcc - SAcc initiatives and programs targeting - Recipient -Executed Support to initiatives critical governance and development CSOs for Social reforms Accountability - Enhance core funding for - Institutional development: strategic - Recipient -Executed CSOs’ institutional planning, financial management & strengthening fundraising, organizational systems, etc. - Provide mentoring and - Mentoring and capacity-building on - Recipient -Executed thematic capacity-building SAcc to CSOs - Knowledge and capacity- - Capacity-building on SAcc - Recipient-Executed by national building grants and international CSOs & Bank- Executed Support for - Build a Social - Sharing of practitioners’ knowledge and - Recipient-Executed by national Knowledge Accountability Knowledge practices, including knowledge and and international CSOs & Bank- Activities Platform for knowledge- practices generated from GPSA- Executed generation, learning and supported grants exchange - Strengthening CSOs’ networks and communities of practice, particularly by connecting GPSA grantees with relevant networks and CoPs - Closing research gaps through strategically selected evaluations on the impact and effectiveness of SAcc initiatives, in partnership with other donors and leading research institutions. - Supporting governments in the design and implementation of social accountability-related policies and programs in close coordination with country units - Strategic capacity building - Support (grants or direct capacity - Recipient -Executed and knowledge grants building/mentoring) would link outside the usual call for institutional strengthening to proposal implementation of social accountability 5 activities (thus allowing for hands-on learning and providing CSOs with some means to implement right away). 2. General Features of GPSA Grants Provided Trough 9. The GPSA makes grants available to CSOs for programmatic and knowledge activities related to social accountability (SAcc). These activities amplify efforts to improve development effectiveness via social accountability approaches and institutional development of CSOs. GPSA grants are also available for mentoring, knowledge, and capacity building activities. All grants are provided in accordance with the Guidance Note on Multi-stakeholder Engagement and consistent with the World Bank’s Articles of Agreement and policies and procedures. In addition, all potential CSO recipients must reflect the GPSA principles of constructive engagement including using policy analysis methods that maximize objectivity, seeking opportunities to discuss policy recommendations with relevant officials, and proposing viable solutions to problems. 10. CSO Eligibility Criteria. CSOs eligible to receive GPSA grants must be legal entities that fall outside the public or for-profit sectors and are eligible to receive foreign funding under the country’s applicable legal framework. These include non-government organizations, not-for-profit media organizations, charitable organizations, faith-based organizations, professional organizations, labor unions, other workers’ organizations, associations of elected local representatives, private foundations, and policy development or research institutes, provided that these CSOs do not have partisan associations and their grant applications do not include “activities which, because of the high inherent risk of political interference, are likely to raise Articles issues. These activities include political governance, for instance, support of efforts to help organize political parties, or to the organization, running and monitoring of elections.”3 11. Opt-in Country Status. National governments may submit an “opt in” letter to the World Bank indicating their consent to be included in the GPSA (see Annex 1). By submitting this “opt in” letter, a national government effectively grants an umbrella, upfront, programmatic consent to each individual GPSA grant operating in its country without later needing to provide specific consents for each grant proposal. Once a country has opted in, GPSA may support CSOs based and/or operating in that country. Global and regional CSOs are eligible to receive GPSA support when their own local offices have an independent administrative and governance structure in the “opted -in” country. In addition, global and regional CSOs based in countries that have not “opted in” can participate provided they can demonstrate that they have an established and effective relationship with a local CSO in a country that has “opted -in” to the GPSA. 12. The GPSA allocates grants on a competitive basis to eligible CSOs for programmatic, institutional strengthening, and mentoring activities related to SAcc (Component 1 activities above). Each grant is expected to include a sub-component to foster knowledge management, learning, and networking. In each case, disbursements are linked to key project milestones agreed with the recipient CSO, which may be adapted over time to reflect performance and lessons learned. All grant applications must meet the following minimum eligibility criteria: - Align with the country-tailored call for proposals. - Present a logical, achievable implementation strategy, including a sound budget. 3 GPSA Board Paper, Annex C. Activities Not Eligible for Funding and Conflicts of Interest, paragraph 7, pg 41. 6 - Reflect the GPSA principles of constructive engagement. - Demonstrate a close correlation between the proposed activities and intended improvement of the governance framework at the country level. 13. Funding amounts, Co-financing, and Duration of GPSA Grants under CfPs . Grant amounts can range from US$500,000 to US$1,000,000 to be disbursed over a three to five year time period. Annual GPSA financing may not exceed fifty percent of the recipient CSO’s total organizational annual budget 4, but it may cover 100 percent of proposed SAcc interventions. In order to ensure a balanced distribution of GPSA funding across countries, total funding per country per year is determined by the following formula: = ( ) × ( /4 ) . 14. GPSA Calls for Proposals (CfP). From time to time, based on available grant-making resources, the GPSA issues a round of calls for proposals targeting CSOs from countries that “opt -in” to the GPSA. Each round features one or more CfPs that are tailored to specific country regional or global governance challenges identified by Bank country teams or GPSA Secretariat in consultation with local CSOs, governments, donors, and GPSA global partners. In order to ensure effective alignment with national or regional development strategies and variables of the local context, the CfP at the country or regional level are based on specific solutions to governance challenges. A particular focus is to seek support civil society and Governments to work together to solve critical governance challenges in developing countries. In order to encourage harmonization when feasible GPSA also seeks country-level collaboration with other World Bank activities, donors, government officials, global partners, and stakeholders supporting broad governance reforms and social accountability programs. Grants at the regional level primarily focus on knowledge-exchange and networking. 15. Non-CfP Grants. In addition to grants provided to CSOs under country-tailored CfPs, GPSA may provide strategic capacity building and knowledge grants outside the usual call for proposals to national or international CSOs for more effective implementation of proposed activities and to learn from those experiences. 3. GPSA Grant Application Review and Selection Process 16. Responding to country-tailored CfPs in a specific round of CfPs, eligible CSOs from countries that “opt-in” to the partnership may submit a GPSA funding proposal (see Annex 2: Grant Application Form). At the Identification / Concept Review Stage, all GPSA grant applications for a particular round undergo a two-step preliminary review process before being submitted to the GPSA Steering Committee (SC) for concurrence at the Project Concept Stage. Following the Steering Committee Meeting, a Concept Review Decision Memo issued by the relevant World Bank managing Director of the World Bank sets forth a final list of candidates to receive GPSA grants for that round of CfPs. 17. Identification/Concept Review. During this stage, GPSA grant applications undergo a two-step review process: 4 The definition of “annual operating budget” can include the GPSA disbursement. 7 18. First Step: World Bank Country Management Units (CMUs) conduct a screening for grant eligibility using a standardized template provided by the GPSA Secretariat (see Annex 3). CMUs play a pivotal role for country-level grants, since GPSA support needs to be tailored to each country context, including with respect to partnerships and risk assessment. Following this screening, CMUs forward all eligible proposals to the GPSA Secretariat using the standardized template. Only those proposals that meet the relevant eligibility criteria are allowed to continue to the second step of the review process (technical review). The CMU eligibility screening consists of verifying the following: 19. Proposal alignment: Confirm that project objectives and activities align with priority themes outlined in the country-tailored CfP. In addition, the CMU verifies that the GPSA proposal was submitted in English. 20. Legal status of applicant CSOs: check that the applicant has responded “yes” to the question in the application requiring the applicant to indicate it possesses legal status in the relevant opted-in country through official documents that prove its formal registration in that country (the applicant will be required to submit proof of legal status if the proposal is selected). Global or regional CSOs, that is, without legal status in the country where the proposal will be implemented, may only partner with a CSO that has legal status in such country. 21. Proven track record of applicant CSOs: For the lead applicant CSO, check that the CSO has (a) included information demonstrating at least three years of experience in the social accountability field, and a vision matching the goals of the GPSA, and (b) provided three references that can be contacted should the proposal be pre-selected. 22. No political interference: Consistent with the World Bank’s “Guidance Note on Bank Multi - Stakeholder Engagement,” carefully assessing the “risk of political entanglement – real or perceived” [based on a good understanding of the political economy of the country] and recommending any measures to be taken to ensure that activities are “implemented in a neutral, non -partisan fashion.” 23. Second Step: Technical review of proposals by an independent Roster of Experts (RoE) with strong regional, country, sector or technical capabilities. With respect to each proposal forwarded by CMUs to the GPSA Secretariat as having met the relevant eligibility criteria, technical experts selected by the GPSA Secretariat from the GPSA RoE conduct independent evaluations of grant applications, including recommendations for improving them. These RoE evaluations use a standardized point scale system, allowing the GPSA Secretariat to rank eligible proposals with respect to the RoE reviews. The reviews will be used by the Secretariat to (i) request clarifications to applicants and any other additional information as necessary; and (ii) inform the final list of proposals to be recommended for pre-selection before the GPSA Steering Committee. Table 2 (below) summarizes the criteria for RoE assessment of technical merit. Table 2: GPSA Roster of Experts (RoE) Technical Review by Core Areas and Criteria Technical experts draw from the criteria listed below as guidance to evaluate grant applications based on the following three proposal dimensions: (a) Rationale and concept; (b) Operative logic, and (c) Implementation capacity. These dimensions are scored using a four-point scale (see Annex 3) Relevance and clarity of ➢ The proposal makes a realistic and well-justified case for using social project objectives: focus on accountability to contribute to solving concrete governance or specific governance and development challenges through a collaborative effort between the development challenges 8 applicant CSO and its partners, and public sector institutions that hold the decision-making power to solve the problem ➢ The approach to achieving the project’s objectives does not assume that citizen participation and social accountability mechanisms will solve the problem or achieve governance and development impacts by themselves; rather, the approach is based on an analysis of collaborative social accountability’s need and value add within a broader, dynamic political economy context with multiple stakeholders and interests involved. Convincing analysis of ➢ Provides a brief and clear analysis of past and ongoing public sector public sector institutions reforms in the sector or theme relevant to the proposal. and engagement strategy ➢ Lays out an engagement strategy by considering the following three key aspects: 1) Which public sector institutions can solve the problem and what are they already doing to solve it? 2) Why would these institutions and actors be interested in working collaboratively with CSOs and how would this engagement look like in practice? 3) What type of response mechanisms are proposed to be used by public sector institutions and how will the feedback link to such mechanisms? Adequacy of collaborative ➢ Puts forth a collaborative framework for engaging public sector social accountability institutions and citizens (including organized civil society groups) in approach problem-solving and monitoring government responsiveness through social accountability processes based on: (a) Information-sharing; (b) credible commitments to cooperate, and (c) joint actions. ➢ The approach is multi-faceted and consists of a dynamic process (not as a “tool” or data collection effort) that considers the following key aspects: o Civic spaces that will be created or strengthened whereby people and communities can engage periodically and iteratively (not one-off) in meaningful deliberation and active participation, with special attention given to poor, marginalized and vulnerable groups. o Concrete mechanisms -linked to public service delivery and institutional channels- for systematizing citizen feedback that can help public sector institutions and service providers in better identifying bottlenecks and activating response mechanisms. The process goes beyond mobilization and information generation and includes coordinating actions to follow-up on the responses at various government levels. o Investing in continuous, learning-by-doing capacity development (rather than as disconnected training activities) and considering capacity needs of both civil society and public sector actors. ➢ Considers and clearly justifies the following dimensions: 1) Lessons learned: why the proposed approach will work better than past or existing initiatives -or add value to an existing 9 initiative- to promote citizens’ active participation through social accountability 2) Sustainability and scalability: the design considers clear sustainability and scaling-up pathways (through both state-led and civil society-led actions and mechanisms) 3) Distinct roles of stakeholders: anticipates how the roles of public sector institutions, CSOs and citizen groups are expected to shift or evolve overtime, particularly as the process becomes sustainable or is scaled up Effective collective action ➢ Acknowledges the need to engage different stakeholders within and through partnerships and outside government to address the stated challenges. It includes formal coalition-building or informal partnership arrangements with a clear allocation of functions according to each actor’s expertise, outreach capacities and influence. ➢ Puts forth a reasonable and fair scheme to share grant funds with partner CSOs, according to implementation roles and responsibilities. Project team capacity to ➢ Proposed project team covers the projects’ needs in terms of skills and execute the project expertise, and time dedication required to execute the project. ➢ The project team reflects how well the applicant has internalized the proposal and really owns it as exemplified by the number and roles of staff from the organization included in the team. External support through consultant positions is geared to building in-house sustainable capacities. ➢ If the proposal includes institutional strengthening activities, their need is duly justified and geared towards investing in strategic areas that will help the CSO to strengthen its long-term sustainability. Appropriate Budget ➢ Clarity and reasonableness of the proposal’s budget as reflected in (i) the balance between the proposal’s duration and the requested budget, (ii) a realistic allocation of budget resources amongst the applicant CSO and any partner CSOs with clear and specific roles, including less- experienced CSOs that are included as “Mentee CSOs” 24. Project Concept Stage - GPSA Steering Committee (SC) Concept Review Decision. Following the two-step Identification / Concept Review Stage (described above), the GPSA Secretariat presents to the Steering Committee (SC) its short-listed grant applications for concurrence on a consensus basis. 5 SC meetings require a quorum of at least six SC members and may take place in person or virtually. The Secretariat proposes a final envelope of GPSA grant proposals that fits the budget determined for that specific round of CfPs (see Annex 4, for details on how CfP envelope is calculated), which constitutes the Concept Review Decision. Country members of the SC may contribute to the discussions involving grant proposals from their countries, but are not considered part of the consensus decision. Following the 5 Consensus need not reflect unanimity; consensus will mean a procedure for adopting a decision when no four members block the proposed decision. A dissenting SC member may nonetheless state an objection to be recorded in the meeting minutes. The Chair articulates the consensus view. 10 Concept Review Decision, the GPSA Secretariat prepares a Concept Review Decision Memo (CDM) to be issued by the relevant managing Director of the World Bank. The CDM sets forth the final list of eligible proposals to be appraised and their respective funding amounts for that round of CfPs. 25. Communicating with winners CSOs: Once the CDM is issued, the GPSA Secretariat will inform both the respective Country Office and the preselected grantee that the project has been preselected by the Steering Committee. In this communication the Secretariat informs the next steps to the CSO to make the grant effective, including any recommendations made by the GPSA Steering Committee to revise the grant proposal. In the case of unsuccessful applications, the GPSA Secretariat will generate an automatic email informing the applicants that they were not selected. 4. GPSA Grant Appraisal/Negotiation/Final Approval 26. Assembling the GPSA Task Team. Following issuance of the CDM, the task team leader (the GPSA TTL) for the specific round of CfPs coordinates a task team (the GPSA Task Team), including a financial management specialist (FMS) and a procurement-accredited staff (PAS). These individuals have extensive experience working with the World Bank’s “Small Recipient Executed Grants” requirements and are expected to provide Bank staff and recipients with timely and high quality guidance in preparing GPSA grants. In addition, the TTL identifies other staff from the GPSA Secretariat and in the Bank whose support may be needed to complete grant documentation and arrangements. Finally, the GPSA Task Team includes a World Bank designated lawyer and a CTR finance officer (FO), as well as environmental and social safeguards staff. 27. As a first step, all CDM proposals and the respective CSO applicants are subject to a full due diligence assessment6. This assessment, carried out by the GPSA Task Team (in particular the fiduciary and safeguards specialists), determines if each CSO applicant (and implementing partners) meets all necessary criteria to advance to the next preparation stage or if corrective measures are needed. This due diligence assessment consists of the following: - Institutional, Fiduciary, and Safeguards Capacity: confirming the ability to meet applicable World Bank policies for grants. Each CSO applicant completes World Bank assessments that cover administrative, fiduciary, and safeguards questions. These assessments provide the Bank with basic information about the prospective recipient (name, address, etc.); its capacity; arrangements for implementing the grant, as well as monitoring and evaluating its implementation; financial management, procurement, and safeguards. - Governance Structure: determining if the CSO applicant has sound internal management policies and practices, such as clear management roles and responsibilities, established methods for planning and organizing activities, human capital, financial and technical resources, and sound implementing partnership arrangements. The CSO’s governance structure should be clearly defined in an Operational Manual subject to the Bank’s revision. - Transparency: clarifying all sources of funding for the project, assessing the CSO applicant’s financial accountability and governance transparency. - Technical Competence: Verifying that the CSO applicant’s (and implementing partners when relevant) proposed executing team possesses the relevant expertise across all areas for which activities have been proposed. 6As enumerated in the GPSA Board Paper, Annex C. Eligibility Criteria, B. Due Diligence Review, paragraph 3, p. 39, which is based on criteria spelled out in the Guidance Note on Bank’s Multi-Stakeholder Engagement (paragraph 27) 11 - Registration Certificate: CSO’s must present a registration certificate issued by a relevant authority stating that the CSO has fulfilled all the necessary requirements to conduct its operations in the country or region where project activities will be carried out. 28. CMU in consultation with the GPSA Secretariat identifies a country-specific TTL (the Country TTL) for responsibility during implementation. The CMU designates a country-specific Bank staff to take up responsibility as Country TTL following grant agreement signature, including playing a key role in monitoring and evaluating grant implementation in close coordination with the GPSA Secretariat. Budget for World Bank project supervision will be included in the WPA (Work Program Agreement) with a suggested norm of $20K per year allocated by the CMU. Coordination between the GPSA TTL / Task Team and the Country TTL already takes place during the appraisal and negotiation period. 29. GPSA Task Team in collaboration with CSO Applicants will share the revised proposals selected for awarding with relevant national governments and the country public for comment. While carrying out the full due diligence assessment, the original proposals may undergo revisions to incorporate proposal-specific RoE technical review comments, as well as additional guidance received from the GPSA Secretariat from the SC. The applicant’s winning proposals will be made available to the national government for a 10-day comment period, followed by a 5-day public comment period. Winning proposals are submitted to the ministry or government agency identified in the “opt in” letter in each of the respective national] governments by each respective CMU for the ten-day review period, after which the World Bank (CMU / GPSA Task Team) follows with a five-day public disclosure and comment period through local / national media. The relevant Country Director (or Regional Vice President in the case of regional grants and Sector Director for Global grants) takes into account all comments received during the two comment periods before approving the project’s Activity Initiation Summary (AIS). 30. GPSA Task Team Prepares a Combined Appraisal Completion/Approval Package. For each CDM proposal and its CSO applicant that have been determined to be compliant with all GPSA requirements through the full due diligence assessment, the GPSA Task Team prepares and submits a combined appraisal completion/approval package (see Annex 6: Combined Appraisal Completion/Approval Package template) to the GPSA Program Manager for clearance. The appraisal completion/approval package includes: - Project Paper (Concept Memo Review for small-grants), including: (i) Appraisal Summary; (ii) results framework; and (iii) completed IAF. - Evidence of government consent – “opt in” letter from respective government. - Simplified Procurement Plan. - Environmental and Social Review Summary (ESRS). - Initial draft Grant Agreement. - Initial draft Disbursement Letter. - Template for Interim Project Progress Report. - Initial draft Stakeholder Engagement Plan (SEP). 31. GPSA Task Team Prepares and submits the Grant Funding Request (GFR) . Drawing on the information contained in the Project Paper, the GPSA Task Team prepares GFRs for each grant for approval by the GPSA Program Manager. Once the GFR is approved, the system automatically creates a child trust fund account and generates a trust fund grant account number. 12 32. Finalizing the Grant Agreement and Disbursement Letter. The GPSA Task Team supports the designated Bank lawyer and CTR finance officer (FO) in the preparation of the Grant Agreement and the Disbursement Letter respectively. The completed draft Disbursement Letter and draft Grant Agreement are circulated by the GPSA as part of the Project Package consisting of: (i) the Project’s GFR; (ii) Project Paper; (iii) draft Procurement Plan; (iv) Appraisal Environmental and Social Review Summary (ESRS); (v) Environmental and Social Commitment Plan (ESCP); (vi) Decision Note; (vii) Stakeholder Engagement Plan; and (viii) Labor Management Procedures, for Practice Manager concurrence and WFATF FO and Program Manager clearance. The final draft Grant Agreement is cleared by the World Bank’s Legal Department prior to its signing, which provides the execution copy. 33. GPSA Grant Agreements (GAs) are prepared using the Bank’s standardized template for small Recipient-Executed grants. For GPSA grants that do not require changes to the standard template, the Bank’s lawyer prepares the grant agreement using the standard Grant Agreement template, drawing on the Project Paper. In addition, the grant agreement will define the type of implementation arrangements between the CSO applicant and implementing partners (see box below for recommended options). 34. GPSA Disbursement Letter (DL) is prepared using a customized template prepared and cleared by CTR. Disbursements under GPSA RETFs follow World Bank OP12.00 Disbursement Payments made out of a Trust Fund Account or IDA Account. At all times, the FO is copied on all exchanges related to the preparation of the DL to intervene as needed and eventually clears the final version of the DL. Box 1. GPSA Suggested Implementation Arrangement Modalities A. Partnership relationship between the Recipient (Main CSO) and other Partners CSOs 1. Only the Recipient manages project funds and takes all fiduciary responsibility (FM and Procurement). Partners CSOs do not take any fiduciary decisions. 2. Partner CSOs only receive funds for implementing specific parts of each project. Funds can be transferred in advance or ex-post once activities are implemented by the partner CSO. 3. There is no need to assess the capacity (FM and Procurement) of Partner CSOs to receive project funds. 4. Prior to carrying out the Project activities, grant Recipients are encouraged to sign an Implementation Agreement with all Partner CSOs, which shall include, inter alia, the following clauses: - Respective roles and responsibilities of the Recipient and Partner CSOs in Project implementation. - Conditions of the Recipient's payment, out of the proceeds of the Grant, of limited operating costs related to the Partner CSO discharge of its responsibilities. - Obligation of the Recipient to exercise its rights and carry out its obligations under the Partner CSO Agreement in such manner as to protect the interest of the Recipient and of the World Bank to accomplish the purposes of the Financing. - A covenant indicating that "except as the World Bank shall otherwise agree, the Recipient shall not assign, amend, abrogate, waive or fail to enforce the Partner CSO Agreement or any or their provisions thereof." B. Relationship between the Recipient (Main CSO) and other associated CSOs (not in a partnership relationship). 1. Both the Recipient and associated CSOs manage funds and take fiduciary responsibility (FM and Procurement). 2. Funds can be transferred in advance to associate CSOs to manage certain parts of the project. 3. There is a need to assess the capacity (FM and Procurement) of the associated CSOs before they receive project funds. This assessment can be done by the Bank or by the Recipient. 4. A Subsidiary Agreement is signed between the Recipient and associated CSOs, to include, inter alia, the following clauses: - Obligations of the Partners CSOs to carry out [X parts of the project] with due diligence and efficiency and in accordance with the provisions of the Grant Agreement. - Obligation of the Recipient to transfer project funds to the associated CSOs. - Obligation of the Recipient and the associated CSO to maintain adequate records and accounts. 13 - Obligation of the associated CSO to make available such documentation to the Recipient and any other information that the Recipient may request. - Obligation of the associated CSOs to procure consultants' services and goods under the project in accordance to the provisions of the procurement section of the Grant Agreement. - Obligation of the associated CSO to take all actions necessary to enable the Recipient to comply with its obligations under the Grant Agreement. - A covenant indicating that the Recipient shall exercise its rights under the Subsidiary Agreement in such a manner as to protect the interest of the Recipient and the World Bank and to accomplish the purposes of the Financing. - A covenant indicating that "except as the World Bank shall otherwise agree, the Recipient shall not assign, amend, abrogate, waive or fail to enforce the Subsidiary Agreement or any or their provisions thereof." - A covenant indicating that "in case of a conflict between the provisions of Subsidiary Agreement and the provisions of the Grant Agreement, the provisions of the Grant Agreement shall prevail." C. Relationship between the Recipient (Main CSO) and other CSOs hired as consultants. 1. The partner CSOs are hired for consultant services, following World Bank procurement guidelines. 2. The contract is duly reflected in the project’s procurement plan. 35. GPSA grant disbursements are linked to the achievement of project milestones as defined in a table included in Annex 4 of the Disbursement Letter (DL). GPSA DLs include an “Indicative Schedule of Withdrawals” which link disbursement tranches to such milestones. These milestones, though usually qualitative, must be validated by providing evidence of their delivery in order to confirm if they have been achieved (Was the milestone achieved? yes/no). After the first advance of funds is disbursed, the Recipient is required to report on how the funds they have received have been utilized and to what degree the milestones were achieved. This type of information is usually recorded in the projects’ Midterm and Annual Technical Reports. Before receiving a disbursement (except for the first advance) the World Bank supervising Task Team confirms that agreed milestones were achieved. In addition, as part of the Bank’s supervision, monitoring progress in all substantive/technical aspects of grants, including disbursement, against the targets, development objectives and performance monitoring indicators set out in the Grant Agreement, consulting as necessary with CTR FO. Box 2. Eligible Expenditures under GPSA RETF Grants - Training: includes expenditures that would not otherwise be covered under goods and consulting services. For example, fees to rent training facilities, per diem and travel expenses paid to trainers (if these expenditures are not included in their consultant contract), or printing and distribution of training material. They are distinguished as a separate expense category for clarity about the use of funds by grantees, especially since RETFs under GPSA are expected to encompass training and capacity-building activities. This category is also included as a standard category in the Simplified Procurement Plan applicable to small RETFs. - Goods and non-consultant services: includes tangible products such as but not limited to stationery supplies, office equipment, computer hardware and software, audio visual equipment, photocopiers, and printed material. Art, furniture, carpet, vehicles, and generators are excluded as eligible goods. - Consultant Services: includes services provided by individuals of firms, including audit services. - Up to 100-percent of Operating Costs: covers administrative costs such as staff costs (including staff salaries), office rental, secretarial services, transportation, basic utilities (electricity, water), and communication expenses (telephone and internet access). 14 36. GPSA Task Team Negotiations with Grant Recipient. Throughout project preparation, the GPSA Task Team discusses and reaches an agreement with the grant Recipient on suggested project implementation arrangements, description of activities, milestones etc. These agreements are recorded in the Project Paper and in the Disbursement Letter. In addition, the grant recipient designates authorized representatives who will bear responsibility for: signing the Grant Agreement, submitting withdrawal applications for advances to the grant, and signing any other legally binding documents with potential Recipient CSOs and CSO partners where applicable. When finalizing the Grant Agreement and Disbursement Letter, the GPSA Task Team and grant recipient conduct a virtual negotiation where the completed Disbursement Letter (including agreed project milestones) is sent to the Recipient together with the draft Grant Agreement and results framework. 37. Grant Agreement and Disbursement Letter signing, and project effectiveness. GPSA Task Team prepares (in collaboration with the Bank’s Lawyer) execution copies of the Grant Agreement and Disbursement Letter and arranges for signature by the World Bank Country Director (or, for global grants, the relevant Global Practice director) and the recipient CSO. Unless there are additional conditions of effectiveness, the Grant Agreement becomes effective once it is countersigned by the recipient. The Grant Agreement and the Disbursement Letter are signed in two originals, one for the Bank and one for the Recipient. The GPSA Task Team retains the original hard copy of the countersigned Grant Agreement and sends it along with the original signed Disbursement Letter to Official Documents in LEG. LEG distributes the scanned copy of the countersigned agreement and the disbursement letter to TACT for purposes of activation of the trust fund. In addition, the GPSA Task Team provides a .pdf file of the countersigned Grant Agreement and Disbursement Letter to LEG, TACT, and CTR. 5. GPSA Grant Implementation Arrangements 38. Once a grant becomes effective, the GPSA Task Team transfers the project to the Task Team designated by the CMU and relevant Sector to manage project supervision. The Bank supervising TTL works with the Recipient to obtain the original signatures of the Recipient's authorized signatories for withdrawal applications. The original specimen signature letter must be filed in Official Documents, normally done by LEG, before disbursements can be made. The TTL also provides a pdf file of the specimen signatures letter to LEG, CTR, and TACT. Upon effectiveness of the Grant Agreement and after receipt of the original signed Authorized Signatories Form and the Recipient can prepare and submit the first Withdrawal Application for the initial advance (duly signed by the Authorized Signatories). The GPS Task team continues to support the Bank Task Team responsible for project supervision. 39. Monitoring and Reporting Mechanisms. The following mechanisms are intended to ensure the collection of appropriate and sufficient data and feedback to fulfill GPSA’s monitoring and evaluation responsibilities: - Bi-Annual Reports. CSO recipients must furnish bi-annual financial and activity progress reports (Results-oriented Reports, RORs) to the World Bank supervising TTL and to the GPSA Secretariat. These reports are prepared and submitted electronically, and contain standardized information across all grants, in order to facilitate the collection of data that will be used for analysis and evaluation purposes. Moreover, RORs build on the Results Framework, M&E spelled out by grantees in their Grant Proposals, also consistent with the GPSA’s overall RF. Specific requirements on financial progress and completion reports are provided in Annex 8. 15 - Field Visit Reports. As part of grants’ ongoing supervision, TTLs may conduct field visits to more closely monitor grant implementation and provide technical assistance to grantees. 40. For the Knowledge Component, reporting is carried out through the Grant Reporting and Monitoring (GRM) module, which includes progress and completion reports. In addition, Bank-Executed Knowledge products are disseminated through the GPSA’s Knowledge Platform. 41. Management Reporting by GPSA Secretariat. The GPSA Secretariat submits Annual Progress Reports to the Steering Committee, which include reporting on progress achieved on the GPSA Results Framework’s indicators. 42. Program-level Evaluations. Independent evaluation is a governance responsibility. As recommended by IEG’s assessment of global partnership programs it is critical that the Partnership’s governing body (Steering Committee) take ownership of independent evaluations. Independent external evaluations are expected to be carried every two years 7. 43. Record-Keeping. GPSA records management follow the WB Record Keeping Policy. Specific requirements for grants are specified in the Grant Agreements. Phase Description Main actors involved Phase I - Country multi-stakeholder consultations - GPSA Secretariat Formulation and - Global CfP tailored to country priorities and cleared by CMU - CMUs, Call for Proposals - Global CfP issued and publicized - Cis Phase II - Submission of Proposals - CSOs Selection of Proposals 1st Stage Review: Identification/ Concept - GPSA Secretariat, CMUs - Proposals screened by CMU - RoE - Proposals reviewed by Roster of Experts - SC - Proposals ranked and submitted to Steering Committee by the - Global Director Secretariat - Proposals pre-approved by Steering Committee - Decision Note issued by Global Director - Award winners announced 2nd Stage Review: Appraisal/Negotiation - GPSA Secretariat, CMUs - Proposals shared with Government for comments - Governments - Proposals shared with Public for comments - General Public - Due diligence conducted - FM, Procurement, ENV/SOC - Project Package completed (including ESRS and SEP) - LEGAL - Grant Agreements (GA) and Disbursement Letters (DL) completed by - LOA LEGAL and LOA respectively. - PR - GM and DL cleared by FM, PR, SAFEGUARD and TACT - SAFEGUARD - AIS processed - Phase III - Grant Agreement and relevant legal documents signed - GPSA Secretariat, Project Effectiveness - Grants’ winners - Country Director 7 Consistent with GPSA Board Paper, paragraph 64, p. 24-25 16 Phase IV - Project transferred to TTL and supervision norm (20K) included in WPA - GPSA Secretariat Implementation - AISs and GFRs transferred to SMU Implementing Units by GPSA - Grantees Secretariat - TTLs - Signature specimen and first disbursement request submitted by - SMUs Grantees - Disbursements - First disbursement disbursed and project activities initiated - Fiduciary Specialists - Project monitored and periodic reports presented to Secretariat. 6. Other operational features of GPSA RETF Grants 6.1 Disclosure Requirements and Access to Information Policy 44. Disclosure requirements comply with the World Bank’s Access to Information Policy. The status of individual proposals – from submission to implementation – are made public on the GPSA website. 45. The GPSA Secretariat makes readily available all relevant information for public disclosure. The GPSA Secretariat and the Country Offices post GPSA guidelines, procedures, budgets, and other key information on their respective websites. The Secretariat also proactively discloses information received from GPSA grant recipients — such as project proposals, budgets, audited financial statements, and implementation report — in accordance with the World Bank’s Access to Information Policy. 46. Information Requests and Grievance Redress Mechanism. The GPSA Secretariat manages an open, active, two-way communication channel with all Program stakeholders by: • Establishing a feedback gathering mechanism to receive, sort, and act upon feedback, including grievances. The mechanism will include a modality for monitoring how suggestions and grievances are handled and resolved. • Publishing and widely disseminating the various channels for receiving feedback. 47. Information requests and grievances related to any aspect of GPSA operations are submitted to the GPSA Secretariat, which redirects them accordingly. 48. Grant recipients are also subject to the World Bank’s Access to Information Policy. Their specific obligations under this policy are specified as part of Grant Agreements. 6.2 Fraud, Corruption, and Sanctions 49. RETFs are subject to the same policies and procedures as all IBRD and IDA financing; therefore, sanctions reform applies to all GPSA TF grants. All such grants incorporate, and are subject to, the Bank's Anti-Corruption Guidelines8 and the Procurement and Consultant Guidelines, as revised in January 2011, as well as the revised Standard Conditions for TF Grants dated February 15, 2012. 9 The revised Standard Conditions provide for suspension and/or cancellation of disbursements, as well as the refund of disbursed grant proceeds, in the event of fraud and corruption in connection with the use of grant proceeds. The Anti-Corruption Guidelines specify actions to be taken by grant recipients to prevent and combat fraud and corruption in connection with grant proceeds. 8http://siteresources.worldbank.org/INTLEGSTAFONLY/Resources/AnticorruptionGuidelinesOct2006RevisedJan2011.pdf or available at www.worldbank.org 9 http://siteresources.worldbank.org/INTLAWJUSTICE/Resources/STDGC-English-12.pdf 17 50. In addition, the Anti-Corruption, Procurement, and Consultant Guidelines provide that the Bank may sanction firms and individuals found to have engaged in corrupt, fraudulent, coercive, collusive or obstructive practices in connection with the use of TF grant proceeds, including (but not limited to) in the course of procurement or the selection of consultants, or in the execution of contracts financed by the TF grant. Sanctions include indefinite or temporary debarment, debarment with conditional release, conditional non-debarment, restitution and reprimand. Accused parties are afforded due process before sanctions are imposed. For details see the Sanctions Management intranet site. 18 7. ANNEXES Annex 7.1 – Opt-in Letter From: [Authorized Borrower’s Representative] To: [Name], World Bank Country Director [Date] Dear Sir/Madam: The letter confirms the Government of [Name of Country]’s decision to opt into the Global Partnership for Social Accountability (“GPSA”), as approved by the World Bank Executive Directors on June 12, 2012. I also confirm that civil society organizations in [Name of Country] are eligible to receive support from the GPSA consistent with the GPSA Board Report No. 67581 rev. dated June 13, 2012. The Government hereby designates [title of position] in the [Name of Institution – Ministry or Agency] as the contact for the World Bank on implementation matters related to the GPSA, including providing any Government feedback on proposals provisionally selected for funding within the ten day review period. Sincerely, [Signature] Name of Borrower’s Representative Annex 7.2 – GPSA Envelope Calculation The Basis of Commitment (BoC) is the criterion used to determine the amount of donor funding that becomes available for entering into grant commitments with recipients. This amount of available donor funding is also called “Commitment Authority”. The maximum Commitment Authority is limited to the 19 total amount of donor contribution agreements in place for a given trust fund program (i.e. signed administration agreements) plus the total investment income credited to the trust fund to date, less administrative fees to be deducted from the contributions. The GPSA's request to use a Cash and Contributions Receivables Basis of Commitment option has been approved. Therefore, the Commitment Authority for the GPSA is limited to Cash received plus no more than 50% of Contribution Receivable. Basis of Commitment Risk (a) (b) (c) (d) (e)=(c) -(d) (f) (g) (h) (i)=(g) -(h) (j)=(i)*.5 (k) (l)= (e)+(j)+(k) Estimated Annual Secretariat Costs Total Committable -Committed T0 Contribution Receivable Available 50% of Receivables Available for Cash Available for Commitment Commitments beginning of FY Total Grant (BETF and RETF) Total Grant (BETF and RETF) Commitments end of FY Future Secretariat Costs Contribution Receivable Contributions Paid In Investment Income for Commitment Commitment Revenue FY13 FY14 FY15 FY16 Total Notes: (a): Contributions Paid In (WB + other donors) (f): allocation observed for grants in previous year (g) For FY2013: Total Revenue - (a) - (f) (g) For FY2014 and beyond: Total Revenue - (a) - (l) previous year - (d) SUM previous years - (f) SUM previous years (k) : (l) previous year - (f) 20 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 Annex 7.3 - Governance and Institutional Arrangements of the GPSA The GPSA governance structure has been envisaged as a collaborative platform based on a few key objectives consistent with the goals of the GPSA itself: • Involvement of a broad range of stakeholders, including governments, donors and CSOs • Harmonized funding through a common vehicle • Programmatic coordination across multiple funding sources • Efficient operation, building on the Bank’s experience as Trustee and Secretariat To achieve these objectives, the proposed governance structure seeks to be simple, divide roles and responsibilities based on comparative advantages, balance inclusion and efficiency, and build in flexibility for incremental growth and adjustment over time. The Partnership’s structure is comprised of the following stakeholders: i) Participating countries, ii) Steering Committee, iii) Secretariat, and iv) Global partners Roles and Responsibilities of GPSA Stakeholders The next sub-sections describe these stakeholders’ roles and responsibilities. Participating countries: The GPSA will operate in countries whose governments have “opted -in” to the program. Governments will submit a letter of consent to the Bank. Following the approval of individual grants by the Steering Committee, Country Directors will make selected proposals available to governments for a 10-day vetting period. As described further in the selection process, governments will not have direct approval authority over individual grants. Steering Committee: The GPSA Steering Committee (SC) will initially have 10 members. It will combine representatives from three key constituencies – government, civil society, donor agencies – whose expertise, experience, interests and reach can contribute to the goals of the GPSA (See Annex 4, Terms of Reference of the SC). The initial composition will be the following: • Three donor agencies (two government bilateral agencies and one private foundation/donor); • Three CSOs (one from a “part-I” country and two from “part-II” countries). In order to broaden regional representation, two alternates (one for part-I and one for part-II) will be selected; and • Three representatives from developing country governments The SC will have two co-chairs. One co-chair will be the World Bank Vice President for Sustainable Development [(or his/her designate)], and the other co-chair will be selected from among SC members to GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 serve for a term of two years, rotating from one term to another among the three SC constituencies. In addition, the Program Manager of the Secretariat will join the SC in an observer capacity to serve as a resource person and to facilitate timely implementation and follow-up of SC decisions. To balance continuity with rotated membership, participation in the SC will be on the basis of fixed three-year terms, which will be staggered after the first three-year period. The SC may expand its representation provided it maintains a numerical balance of members from all three SC constituencies. The process of selection of SC members for each constituency is as follows: • Donors: government bilateral agencies and foundations that make a minimum threshold contribution will have a seat on the SC. If three donor agencies have not made contributions by the launch of the GPSA, three donors will be invited to serve as members on an interim basis. • CSOs: For the renewal of the SC, other regions will be able to nominate CSO candidates. In order to broaden regional representation one alternate CSO representative from part-I countries and one alternate from a part-II country will also be nominated. CSOs with which individual members of the SC are affiliated will not be able to receive funding from the GPSA while these individuals serve in the SC. A CSO-donor-Bank selection committee will review nominations and make final decisions • Governments: three government representatives from developing countries that have opted-in to GPSA will be chosen by the Bank’s Board of Executive Directors. For this, participating countries will be invited to present their nominations to serve in the GPSA SC. The SC will seek to broaden its representation provided it maintains a numerical balance of members from all three groups. If more than three donors contribute above the minimum threshold, they will sit in the SC on a rotating basis. The SC will have the following roles and responsibilities: • Provide strategic guidance over the design and implementation of GPSA, to be reflected in the annual call for proposals • Review and approve the GPSA Operational Manual • Provide guidance on the definition of key functions and products including the GPSA Results Framework, the GPSA Knowledge Platform, and the specific details for the annual call for proposals. • Approve the set of grants presented by the Secretariat on a no-objection basis • Help identify qualified individuals to integrate the Global Roster of Experts (RoE) • Contribute to the development and implementation of a GPSA resource mobilization strategy Decisions by the SC will be made by consensus. In this context, consensus will mean a procedure for adopting a decision when no four members block the proposed decision. It need not reflect unanimity in that dissenting members that do not wish to block a decision may state an objection to be recorded in the meeting minutes but nonetheless allow the decision to go forward. The Chair articulates the consensus view. Country representatives may participate in the discussions involving grant proposals from their countries, but may not block the resulting decision. SC formal (face-to-face) sessions require a quorum of 22 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 at least six people. Decisions may be made through electronic means between face-to-face meetings on a no-objection basis. The SC will meet in person twice a year, once to set strategic directions and monitor progress made by the GPSA based on the Results Framework, and once for the approval of grants. The Secretariat may convene extraordinary meetings of the SC on an exceptional basis, as needed. SC meeting locations and dates will be proposed by the Secretariat and agreed by the SC. GPSA Secretariat: A small Secretariat will be established at the World Bank with the objectives of managing the funding, networking, communications, reporting and administrative tasks of the GPSA. By acting as the Secretariat while also serving as Trustee, the Bank will ensure close coordination between MDTF activities and all other partnership aspects, in part by using the same staff to provide operational links between upstream (MDTF donor contributions, SC decision-making) and downstream (grant activities, reporting, results) functions. The GPSA Secretariat will be comprised of World Bank staff, including the Program Manager. A combination of Network and Regional staff will, as appropriate, provide the needed focus on global and regional/country levels, respectively. Interested CSOs will be invited to provide seconded staff to serve on a rotating basis on the Secretariat in order to ensure closer Bank – CSO coordination. Funding for the Secretariat will be provided through the MDTF as agreed in the Administration Agreements with donors. The Secretariat will be responsible for the overall management of the GPSA, including coordination, administration and grant-making functions: Coordination and administration functions • Coordinate with the World Bank in its function as Trustee and support the Trustee in its relations with MDTF donors • Support the Chair of the SC by organizing SC meetings • Provide administrative support for any no-objection decisions by the SC • Prepare all business documents related to the GPSA • Develop a Communications Plan for the GPSA and managing its implementation, with support from the SC • Reach out to and coordinate the formation of the GPSA’s global partners’ group • Liaise with other parts of the World Bank Group and other relevant organizations • Manage the GPSA’s knowledge component (Knowledge Platform, Bank -executed grants, and other knowledge-related activities) • Ensure the implementation of an M&E system based on the Results Framework adopted for the GPSA • Prepare the GPSA’s Annual Report and any other reports requested by the SC and by MDTF donors • Maintain the GPSA’s records Grant-making functions 23 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 • Manage the overall grant application and selection process, and coordinate the supervision of grant projects with the Bank’s Country Management Units and with task team leaders (TTLs) appointed as project supervisors • Prepare global Call for Proposals and work with country offices to tailor CfPs to each country’s priorities • Prepare ToRs and select the Roster of Experts (see paragraph 64 further below) and coordinate the grants’ overall review process • Recommend proposals after their review by the Roster of Experts and submit them to the SC for approval on a non-objection basis • Set up and manage a GPSA Help Desk for grantees • Work with potential grantees on the introduction of changes to their proposals, based on the feedback provided by experts, government officials, the public and the findings of the Bank fiduciary assessment of each individual proposal. The Secretariat will coordinate countries’ grant-making and grant supervision processes closely with Country Management Units (CMUs). Specifically, CMUs will be responsible for: • Securing opt-in consent letter from government of participating country • Publicizing country call for proposals in official and local languages, using various dissemination means, including special GPSA overview sessions for potential applicant CSOs • Carrying out the preliminary screening of grant proposals received by the Secretariat, through a rapid review of CSOs’ eligibility in accordance with the Bank’s Guidance Note on Multi - Stakeholder Engagement (see paragraph 44) . Ensuring that selected grant proposals are aligned with the country-tailored call for proposals • Sending any requests for information or grievances received by the Country Office during the course of grants’ implementation to the GPSA Secretariat Supervision of the selected proposals will be carried out by Bank sector staff. This supervision will be included in the WPA (Work Program Agreement) with a suggested norm of $20K per year to be allocated by the CMU. The Secretariat will establish a global Roster of Experts (RoE) in order to bring expert advice into the selection of proposals. As described in the Grants’ Selection Process the role of the RoE is to provide advice on the technical quality and soundness of proposals; for this, individual reviewers will use an evaluation matrix, including a standardized point scale, which will assist the Secretariat in ranking the proposals and to inform the final selection of proposals to be recommended before the SC. The RoE will consist of a list of individuals with strong knowledge of social accountability approaches and a sound understanding of the realities of the participating countries. RoE participants are expected to be recognized technical experts in their fields with the ability to provide objective, informed, and insightful advice. The Secretariat will prepare terms of reference for the RoE. The full list of individuals selected to be part of the RoE, along with their qualifications and areas of expertise will be published by the Secretariat in the GPSA website. 24 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 Global Partners: With the objective of broadening support for GPSA in various areas and of strengthening a global community of practice, CSOs and donors, from both the South and the North will be able to join the GPSA in the capacity of “Global Partners”. This will aid in expanding the Partnership’s global, regional and country scope, and encouraging increased cooperation across stakeholders interested in advancing social accountability, in terms of networking and knowledge-exchange opportunities. In addition, this constituency will be consulted during the definition of the call and will provide inputs on Governance and CSO contexts of participating countries. The Global Partners will meet with the Secretariat periodically to assess the progress of the program and the accountability agenda. These meetings will include an annual Global Forum for all the Global Partners to come together. Different types of organizations, such as international non-governmental organizations (INGOs), foundations, regional networks of CSOs, and country CSOs will be able to join the GPSA as global partners. Partners will provide the GPSA with their open endorsement through a written letter, and will be expected to contribute in terms of networking, knowledge and other activities. Participation as Global Partners will not require organizations to contribute financially to the GPSA’s MDTF nor mean that they or their members or associates will be privileged to receive grant funding from the GPSA. Nonetheless, CSOs that are global partners and eligible to apply for GPSA funding may do so, unless one of their individual members is serving in the SC, at the time of grant proposals’ submission and approval. 25 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 Annex 7.4 - Selection Criteria for Steering Committee Civil Society Representatives GPSA Steering Committee: Overview A. The proposed GPSA partnership structure is based on the following objectives:  Involvement of a broad range of stakeholders, including governments, CSOs, and other stakeholders for country activities;  Coordinated funding through a common vehicle;  Programmatic coordination across multiple funding sources;  Efficient operation, building on the Bank's experience as Trustee and Secretariat; B. The Steering Committee is the GPSA’s decision-making body, and will provide for the membership and voice of key stakeholders (donors, CSOs, member countries). It will make decisions by consensus, taking into account the views of experts familiar with the local context. The SC will function at the strategic level to provide the overarching input and legitimacy needed to shape and promote the activities of the GPSA. Broad GPSA principles and priorities for funding will be decided by the SC. The SC will combine representatives from all key constituencies whose expertise, experience, interests and reach can contribute to the goals of the GPSA. C. To ensure transparency and legitimacy, the composition of the SC and the modalities for selecting members will be made publicly available. D. The SC will have balanced representation among donors, CSOs, and developing country governments. The initial number of SC members will be 10: ➢ Three donor partners (two sovereign donors and one foundation representative); ➢ Three CSOs (one from a “part-I” country and two from “part-II” countries). In order to broaden regional representation, two alternates (one for part-I and one for part-II) will be selected; ➢ Three representatives from developing country governments; and ➢ A World Bank representative. Selection Process of Steering Committee members E. Members of the Steering Committee will be selected as follows: a) Governments: three government representatives from developing countries that have opted-in to GPSA will be chosen by the Bank’s Board of Executive Directors. For this, participating countries will be invited to present their nominations to serve in the GPSA SC. b) Donors: Government bilateral agencies and foundations that make a minimum threshold contribution will have a seat on the SC. If three donor agencies have not made contributions 26 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 by the launch of the GPSA, three donors will be invited to serve as members on an interim basis. c) CSOs: For the composition of the first SC, CSO members will be nominated through regional CSO networks identified by the Regional Vice-Presidents of Africa, MNA and EAP for part II countries and by the Bank’s Office of External Relations ( EXT) for part I countries. For the renewal of the SC, other regions will be able to nominate CSO candidates. In order to broaden regional representation one alternate CSO representative from part-I countries and one alternate from a part-II country will also be nominated. CSOs with which individual members of the SC are affiliated will not be able to receive funding from the GPSA while these individuals serve in the SC. A CSO-donor-Bank selection committee will review nominations and make final decisions. F. The donor agency and government members will participate in an institutional capacity. The civil society members of the SC will participate in their individual capacity. G. SC membership will be based on the following principles: ▪ Membership should reflect gender and geographic diversity. ▪ Members should be grounded in social accountability initiatives at global, regional or country levels, ideally with experience working in one or more developing countries. ▪ Members should demonstrate substantial depth of experience working in the social accountability sector in low- and middle-income countries and should hold senior positions in their respective organizations. ▪ Membership should reflect expertise in a broad range of thematic areas related to social accountability. ▪ To avoid conflicts of interest, CSOs with which individual members of the SC are affiliated will not be able to receive funding from the GPSA while these individuals serve in the SC. CSO Representatives – Selection Criteria a. To ensure voice is given to civil society on the GPSA’s governance structure, the GPSA will include representatives from CSOs. The role of CSOs’ representatives seating at the SC will be to offer an inclusive and effective civil society voice on the GPSA. The Northern and Southern civil society representatives will complement each other, and where possible, will seek inputs from networks of CSOs. H. The following rules aimed at preventing conflicts of interest, will apply to CSO representatives seating at the SC: a) SC civil society representatives will act in an individual capacity, rather than as representatives of their own organizations, networks or constituencies. 27 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 b) CSOs with which individual members of the SC are affiliated will not be able to receive funding from the GPSA while these individuals serve in the SC. I. In addition to the membership principles applicable to the SC as a whole and to civil society representatives, the following criteria will provide guidance in selecting SC civil society members: a) Have credibility and be respected members of the CSO community worldwide (or at least regionally for Part II CSOs), with the capacity to represent the voice of civil society and authority to consult with a broad range of civil society organizations working on social accountability. b) Have a positive, proven track record of work in the social accountability field and be recognized as referents in the field. c) Affiliated with a CSO that is considered non-partisan. 28 GPSA OPERATION MANUAL January 31th, 2013 UPDATED June 19th, 2014 Annex 7.5 – Results Framework GPSA Results Framework 29