From: <AIDS_ASIA-owner@yahoogroups.com>
Date: Fri, Feb 4, 2011 at 7:28 PM
Subject: [AIDS ASIA] Code of conduct for the recipients of the Global Fund Grants
To: AIDS_ASIA@yahoogroups.com
Code of conduct for the recipients of the Global Fund Grants
The Global Fund Twenty-Second Board Meeting GF/B22/9 Sofia, Bulgaria, 13-15 December 2010 41/45
Introduction
1. As a major financing institution in the fight against AIDS, tuberculosis and malaria, the Global Fund recognizes the importance of accountability for all entities that are entrusted with its resources and the paramount need for the Global Fund and its partners to exercise the utmost integrity in its operations. Transparency, accountability and integrity are critical components for the success of the Global Fund in achieving its mission.
2. As stated in its Framework Document, a core principle of the Global Fund is to operate in an open, transparent and accountable manner. Consistent with this core principle the the Global Fund expects its partners, including the first recipients of its grant funds ("Principal Recipients") and all subsequent recipients ("Sub-recipients") to adhere to the highest standards of integrity in their operations.
3. The goal of this Code of Conduct for Recipients ("Code") is to set out the Global Fund‟s expectations of standards of ethical conduct to be achieved and adhered to by all recipients of grant funds, and to enlist the commitment of all entities that receive Global Fund grant funds to act in full compliance with the core principles of transparency, accountability and integrity.
4. This Code supplements the Code of Conduct for Suppliers, (cite web address), which together with this Code articulate the foundations of the Global Fund‟s Values and Integrity Initiative. The Code of Conduct for Suppliers is linked to the Sanctions Procedure that may be found (cite web address). Violations of this Code of Conduct for Recipients are first addressed by the Executive Director or his designee, and may then be presented to the Sanctions Panel at the discretion of the Inspector General and the Executive Director, as set forth in the Procedure.
Scope of this Code
5. This Code requires all recipients of Global Fund financing, including Principal Recipients, Sub-recipients, and all other recipients, including the Global Fund‟s Country Coordinating Mechanisms, procurement agents and buyers (hereinafter "Recipients") to observe the highest standard of ethical conduct in Global Fund activities and exercise the utmost care and integrity in the use and appropriation of grant funds. In particular, this Code requires all Recipients to preserve and protect the grant funds entrusted to them, and to ensure that such Global Fund financing, including the monies and assets disbursed, are used solely for the purposes set out in the Board approved grant proposal and in accordance with the Grant Agreement under which they were disbursed, and under no circumstances are those grant funds to be misappropriated, embezzled, misdirected or misused in any manner whatsoever.
6. Principal Recipients, Sub-recipients, other recipients, Country Coordinating Mechanisms, procurement agents and first line buyers are required to ensure that this Code is communicated to and complied with by all entities which receive funding that has originated from Global Fund financing. Recipients will ensure that this Code is communicated to all their affiliates, officers, employees, subcontractors, agents and intermediaries of Recipients and Sub-recipients (each a "Recipient Representative") and will take all reasonable steps to ensure compliance by Recipient Representatives, including taking immediate action in cases of non-compliance. Breaches of this Code may result in a decision by the Global Fund to sanction the Recipient, the Sub-recipient and / or the Recipient Representative involved, suspend disbursements or terminate funding.
Fair and Transparent Practice
7. The Global Fund does not tolerate corrupt, fraudulent, collusive, anti-competitive or coercive practices of any kind involving its resources, including grant funds, nor any misappropriation or diversion of its funds. The Global Fund will take strong and immediate action in all circumstances where it determines that there is substantive and credible evidence of misappropriation, embezzlement, fraud, collusion, anti-competitive or coercive practices.
8. Recipients are expected to exercise diligence in ensuring that grant funds are used for their intended purposes, and reach the intended beneficiaries of the Global Fund financed programs. Principal Recipients are also required to ensure that all Sub-recipients adhere to all principles set forth herein, and meet all the obligations incumbent upon Principal Recipients expressed in this Code as well as the relevant Grant Agreement between the Global Fund and the Principal Recipient.
9. Recipients of grant funds and resources are expected to utilize Global Fund resources in a transparent, fair, accountable and honest manner. They are also expected to uphold the principles of good faith and fair dealing, and follow generally accepted standards of good procurement practice as well as all applicable rules and regulations regarding fair competition .
10. Recipients will not, directly or indirectly, including through an agent or other intermediary, engage in corrupt, fraudulent, collusive, anti-competitive, coercive practices, and shall not engage in embezzlement, theft, misappropriation or misuse of Global Fund grant funds. For these purposes:
"corrupt practice" means the offering, promising, giving, receiving or
soliciting, directly or indirectly, of anything of value or any other advantage
to influence improperly the actions of another person or entity;
"fraudulent practice" means any act or omission, including a misrepresentation,
that knowingly or recklessly misleads, or attempts to mislead, a person or entity
to obtain a financial or other benefit or to avoid an obligation;
"coercive practice" means any act or attempt to influence improperly the
decisions or actions of a person or entity by impairing or harming, or threatening
to impair or harm, directly or indirectly, such person or entity or their property;
"collusive practice" means an arrangement between two or more persons or entities designed to achieve an improper purpose, including influencing improperly the actions of another person or entity;
"fraud" means intentionally obtaining money or property by false or fictitious representations or promises, or material omissions;
"embezzlement" or "theft" means the act of dishonestly taking, appropriating or secreting money or assets not rightfully belonging to the individual or entity, including diversion of monies entrusted to the individual or entity as a fiduciary or in connection with an official responsibility;
"misappropriation" is the intentional misuse or misdirection of grant funds for purposes that are inconsistent with the stated goal of the project or program, including for the benefit of the individual, entity or person they favor, either directly or indirectly.
Conflict of Interest
11. Principal Recipients shall take all necessary precautions to avoid conflicts of interest. Principal Recipients and all Sub-recipients shall maintain standards of conduct that includes the prohibition of conflicts of interest in connection with the award and administration of contracts, grants, or other benefits.
12. If the Principal Recipient has knowledge or becomes aware of any actual, apparent or potential conflict between the financial interests of any person affiliated with the Principal Recipient or any Sub-recipient, the Country Coordinating Mechanism, the Local Fund Agent, or the Global Fund and that person‟s duties with respect to the implementation of the Program, the Principal Recipient shall immediately disclose the actual, apparent or potential conflict of interest directly to the Office of the Inspector General of the Global Fund.
Anti-Corruption
13. Recipients shall not solicit, offer, give or receive, or promise or represent to offer, give or receive, fees, gratuities, rebates, gifts, commissions, other payments or benefits, except as disclosed in full to the Global Fund. This shall include, but not be limited to, activities in connection with the procurement process, in contract execution or in any determination of the use, employment, assignment or participation of any other recipient, including all Sub-recipients.
14. Without prejudice to the provisions of Article 5 of this Code, Recipients of Global Fund grant funds and resources shall take all necessary steps and precautions to preserve and protect the grant funds, and ensure that the resources and assets disbursed are used solely for the purposes for which they were intended, and are not diverted, misappropriated, embezzled or misused in any way.
15. Recipients and Recipient Representatives will not use Global Fund grant funds for personal gain or any purpose for which they have an interest, financial or otherwise.
Compliance with Laws
16. Recipients and Recipient Representatives will comply with all applicable laws and regulations in countries where they do business, as well as the publicized rules, regulations and policies of the Global Fund that apply to their areas of work.
17. Recipients and Recipient Representatives will ensure that all Global Fund grant funds are not used to support, finance or promote violence, aid terrorists or terrorist-related activity or fund organizations known to support terrorism.
18. Recipients and Recipient Representatives will not engage in money-laundering activities. This includes any kind of activity which hides or is intended to hide the fact that funds have been obtained illegally or are connected with the proceeds of crime, e.g. through fraud or bribery or other illegal activity.
19. Parties responsible for violation of this Code will face sanction, including possible debarment from further activities involving Global Fund grants, referrals to national authorities for prosecution which may be acted upon by the relevant authority, and requirement to fully refund the misappropriated funds.
Access and Cooperation
20. Recipients are expected to maintain complete, well organized, and comprehensive records in appropriate books of account of all financial and business transactions and disbursements of Global Fund resources in accordance with the Grant Agreement between the Global Fund and the Principal Recipient and for a minimum of five years after the date of last disbursement made under the Global Fund grant.
21. Recipients are expected to fully cooperate with the Global Fund and its Office of the Inspector General (OIG), in both Audits and Investigations, and comply with any reasonable request of the OIG to allow access to relevant staff, agents, officers, employees and their Representatives, and to produce, make available and allow inspection and retrieval (originals and copies) of any relevant accounts, records and other documents, including financial documentation, correspondence and communication (both in hard-copy and electronic form) relating to the performance of Global Fund-financed contracts and any use, directly or indirectly (such as through a Sub-recipient), of its funds and resources.
22. The Global Fund expects and requires Recipients to take timely and appropriate action in any situation where a Recipient becomes aware that any of its Representatives, or any Sub-recipient it has employed, contracted, utilized, engaged, or is suspected of engaging, in any corrupt, fraudulent, collusive, coercive or improper practice involving funds, resources or assets of the Global Fund.
23. Recipients are expected to exercise diligence in examining program operations to ensure that violations of the Code have not occurred or are not occurring. Recipients which have not taken timely action and notified the Office of the Inspector General in such situations may face sanctions in accordance with the Sanctions Procedure.
24. In accordance with Article 14 of the Global Fund‟s standard terms and conditions of grant agreements the Principal Recipient shall remain liable for the acts and omission of Sub-recipients. In the event that Global Fund resources are misappropriated by a Sub-recipient employed, selected or utilized by a Principal Recipient, the Principal Recipient shall be responsible to the Global Fund directly for the misappropriated sum, and shall be responsible for making restitution to the Global Fund, regardless of whether the Principal Recipient is able to recover the loss from the Sub-recipient. It is the responsibility of the Principal Recipient to justify and demonstrate to the Global Fund (OIG and Secretariat) that grant funds, including those used by the Recipient Representatives, were used for the purposes for which they had been intended and in furtherance of grant programs, and were not diverted, misappropriated, lost or unaccounted for in any manner.
Authority to Investigate
25. The Office of the Inspector General of the Global Fund has the primary responsibility in the Global Fund for investigating violations of this Code and may investigate such allegations of violations by Principal Recipients and/or Recipient Representatives.
Ethics
26. Recipients will not apply or seek to apply undue influence on the decision-making processes of the Global Fund and will not engage in any conduct that breaches or facilitates the breach of the Global Fund‟s Policy on Ethics and Conflict of Interest (as amended from time to time).
27. Recipients are expected to notify the Office of Inspector General of the Global Fund as soon as they have knowledge of any integrity concern involving or affecting Global Fund resources and grant funding, or any breach of this Code whether or not it involves a Recipient.
28. In addition, the Global Fund has put in place a Whistle-blower policy that encourages anyone with knowledge or information to report, misconduct confidentially, or anonymously, to the Office of the Inspector General through a third party reporting service. The link to the service and the policy can be found on the Global Fund website. See (link).
The United Nations Global Compact for responsible corporate citizenship
28. The United Nations Global Compact is a voluntary international corporate citizenship network initiated to support the participation of both the private sector and other social actors to advance responsible corporate citizenship and universal social and environmental principles to meet the challenges of globalization (see www.unglobalcompact.org). The Global Fund strongly encourages all Recipients to actively participate in the Global Compact.
29. In accordance with the ten principles outlined in the UN Global Compact, the participating Recipients will be expected to:
a. support and respect the protection of internationally proclaimed human rights;
b. ensure that they are not complicit in human rights abuses;
c. uphold the freedom of association and the effective recognition of the right to collective bargaining;
d. support the elimination of all forms of forced and compulsory labour;
e. support the effective abolition of child labour;
f. support the elimination of discrimination in respect of employment and occupation;
g. support a precautionary approach to environmental challenges;
h. undertake initiatives to promote greater environmental responsibility;
i. encourage the development and diffusion of environmentally friendly technologies; and
j. work against corruption in all its forms, including extortion and bribery.
http://www.theglobalfund.org/documents/board/22/BM22_09OIG_Report_en.pdf
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