The CCM

Overview GF Basics CCM Basics Useful Tools for the CCM CCM Funding CCM Oversight tool

How Is Global Fund Innovative? National Ownership Old idea (1970s): Development aid went directly to governments, with little attention to civil society Newer idea (1990s): Money went directly to civil society organizations Newest idea (now—the Global Fund): Public and non-public sectors must work together & coordinate their work First 2 paradigms were not successful Global recognition (donor and recipient constituencies) that providing additional resources required knowledge as to what all sectors were already providing; a CCM as a mechanism whereby all national stakeholders can work together, provide input and participate in key decisions 3

The Global Fund Architecture

Key actors of the Global Fund Main message: A diagram of the ‘Global Fund-world’ representing the bodies of the Global Fund and the interaction of the Global Fund institutions and in-country bodies as already described for slides 2 & 6. This slide focuses on the roles of the bodies for grant management. Academic/ Educational Sector The Global Fund Board Approval CCM Technical Review Prepares and submits proposals Selects Principal Recipient(s) Provides governance during implementation Monitors impact Assessment Local Fund Agent TRP Reports Advise Screening Grant agreement Principal Recipients Secretariat Proposal Reports Funds Funds Instruction to disburse Sub- recipients Trustee (World Bank)

Entry points for partner engagement during grant lifecycle Engagement in/through CCM Proposal development New Round of funding Phase 2 RCC Ongoing oversight Identifying challenges Developing responses Providing/soliciting TA Through partner representation on/to CCM Implementation PR (dual-track financing) SR Proposal Development Grant Signing Phase 2 RCC 1 2 3 4 5 Main messages: A main focus of the Global Fund is to intensify the engagement of civil society, the private sector and multilateral & bilateral partners to support grant implementation where necessary. As the body responsible for proposal design and oversight of grant implementation, engagement can best be facilitated through the CCM. This slide presents the possible entry points for possible partner engagement. Partners can play a crucial role through the CCM in helping identify bottlenecks and challenges to grant implementation and facilitating the provision of technical assistance/management support to the PR to help alleviate the problems. Proposal Development Support proposal development: Identify gaps in current activities; develop strategies and interventions Assist with TRP clarifications Support grant negotiations & address CPs Develop TA plan & provide/solicit TA During Phase 1 Address implementation challenges (Financial Mgmt, PSM, M&E) Support preparation of CCM’s Phase 2 Request Support Phase 2 grant negotiations incl. addressing CPs During Phase 2 Address implementation challenges (Financial Mgmt, PSM, M&E) Support RCC proposal development Support RCC grant negotiations incl. addressing CPs Provide/solicit TA

The Global Fund recognizes that only through a country-driven, coordinated and multi-sector approach involving all relevant partners will additional resources have a significant impact on the reduction of infections, illness and death from the three diseases.

CCM – 6 minimum eligibility requirements Non-government representatives transparent selection People living with and/or affected by diseases Transparent proposal solicitation and review Transparent PR nomination & program oversight Stakeholder input Conflict of Interest policy Non-government sector members must be selected by their own sector(s) based on documented, transparent process, developed within each sector. It is recommended that at least 40% of the membership of CCMs be from non-governmental sectors CCMs are required to show evidence of membership of people living with and / or affected by the diseases Transparent, documented process to (a) solicit and (b) review submissions for possible integration in to the proposal Transparent, documented process to (a) nominate PRs and (b) oversee program implementation – Optional but recommend in R8 Dual-track financing – recommendation to routinely include government and non-government PRs to expand service delivery potential by elevating capable civil society and private sector applicants to a leading role Transparent, documented process to ensure the input of a broad range of stakeholders, incl. CCM members and non-members, in proposal development and grant oversight process When PRs and Chair or Vice-Chair of the CCM are the same entity, the CCM must have a written plan in place to mitigate against the inherent conflict of interest, While the requirement is specifically directed towards the circumstance where PRs and CCM Chairs come from the same entity, it is highly recommended that COI policies are designed to apply to all members of the CCM, i.e. increasingly more and more CCM members represent institutions that are also sub-recipients. these requirements must be met by the CCM, they are not negotiable and determine proposals from CCMs that do not meet those requirements are not eligible for funding The following slides will provide guidance on types of documents that could, depending upon context, adequately prove that a particular requirement has been met. Please note that the list is not comprehensive or exhaustive; in certain situations and circumstances, alternative forms of evidence may be adequate, necessary.

Guidelines for Coordinating Mechanisms Broad Representation minimum 40% non-government representation geographical & gender representation people living with the diseases key affected populations Participation and transparency Own constituency member selection Transparent, inclusive proposal development process Transparent, inclusive PR selection process Process for oversight of implementation Governance Chair & Vice chair from different constituencies

CCM – Roles and Responsibilities Year 1 Year 2 Year 3 Year 4 Year 5 Proposal. development Oversight of grant implementation & PR performance PR(s) nomination TRP clarification Grant negotiation Phase 2 Request Phase 2 Grant Closure RCC Technical assistance needs and coordination Coordination with other in-country structures

CCM Roles and Responsibilities Coordinate the submission of coordinated country proposal Select appropriate organization(s) to act as Principal Recipient(s) (PR) for the Global Fund grant(s) Oversee implementation of approved grants Approve any major changes/reprogramming in implementation as necessary Evaluate the performance of grants and PR Submit phase two requests for continued funding Ensure linkages and consistency between Global Fund grants and other development and health programs in support of national priorities

CCM and GF Principles Forum for multi-stakeholder partnerships Increase accountability through multi-stakeholder participation Forum where civil society can partner effectively with government CCMs offer opportunities for harmonization/alignment CCMs promote good governance and transparency CCMs enhance country ownership The Global Fund is designed to work through existing or new multi-sectoral partnerships in developing countries – partnerships named Country Coordinating Mechanisms (CCMs); CCMs Mirror the GF’s own Board of Directors

The Role of the CCM Applying good governance principles Represents the interests of all stakeholders relevant to AIDS, TB and Malaria Coordinates the development of proposals for funding national programmes Nominates (PR) to undertake programme implementation Oversight of the PRs to support programme performance Facilitates the resolution of programme challenges with the PR(s) Ownership of Global Fund grants, reprogramming of funds or change of PR Coordination among partners to promote harmonization among donors and alignment with in-country programmes

Role of the CCM Member Represents an entire constituency – not one organization or individual Consults constituency in all CCM decisions Shares information and communicates openly with constituency members Role requires that all CCM discussions are well documented to ensure transparency and effective participation CCM members cannot delegate their role to a committee or to CCM Chair/Vice-Chairs for example Important to define CCM member roles in clear terms of reference, and to select members with the necessary capacities and commitment

The Global Fund depends on three key bodies in recipient countries to administer and manage its grants : Principal Recipients, Country Coordinating Mechanisms, and Local Fund Agents The Principal Recipient(s) is the legally accountable party in country which disburses to sub-recipients and ensures reporting of results to the Global Fund The Global Fund Advice and data verification Funds LFA PR(s) Reporting Country Coordinating Mechanism Funds Reporting Main messages: The Global Fund bodies in-country: The Principle Recipient (PR) has a grant agreement with the Global Fund Secretariat and is responsible for grant implementation and reporting results achieved. The PR receives funds from the Secretariat. The PR may organise for the implementation of some activities to be carried out by other bodies. It will arrange for implementation of these activities by sub-recipients. The PR will enter into grant agreements with each sub-recipient to formalize activities to be undertaken, disbursement of funds and reporting requirements. The CCM is a multi-stakeholder forum in-country responsible for the submission of proposals (including Phase 2 requests and RCC proposals) and the oversight of grant implementation by the PR. This means the CCM should receive periodic reports from the PR on the status of grant implementation and any challenges encountered and facilitate support for the PR by technical partners where necessary. The LFA is the “eyes and ears” of the Global Fund in-country. The Global Fund does not have offices in-country. It relies on the LFAs in each country to initially assess the capacity of the PR to implement the programs financed through the grant, receive reports on progress of grant implementation from the PR, verify results and make recommendations based on the issues at stake and knowledge of the in-country context to the Secretariat. The Secretariat will consider recommendations provided by the LFA when negotiating grants, making decisions to disburse funds and making recommendations for Phase 2 requests. Sub- recipient(s) The Country Coordinating Mechanism (CCM) is the local partnership that develops proposals for the Global Fund and oversees grants – the CCM is central to the Global Fund’s commitment to transparency and local ownership The Local Fund Agent is the "eyes and ears" of the Global Fund in country, assessing Principal Recipients and advising the Global Fund on ongoing performance

CCM oversight: A national responsibility THE GLOBAL FUND LFA PR CCM SR SR SR

Conclusion CCM is the cornerstone of GF architecture CCM is an expression of GF principles CCM can influence access to GF Funding The CCM plays important roles: In programme development In programme oversight CCM Support available, including useful new tools

A partnership of stakeholders Our Governance Model A partnership of stakeholders NGOs North NGOs South Communities living with the diseases Donors Recipients Public Sector (Governments) Civil Society Private Sector Foundations WHO UNAIDS World Bank Main messages: The Global Fund defines itself as a public/private partnership. The Board has representation of donor and recipient governments, NGOs, communities, foundations and the private sector. The Board has 20 seats: 10 for developed/donor and 10 for developing/recipient countries including NGO representatives of communities living with the diseases, NGOs of developed countries, NGOs of developing countries, and representatives of private foundations and the private sector. UNAIDS, WHO, the World Bank and the Swiss Government may attend the Board meetings, however are non-voting members. This model is to be reflected in-country through the CCM, i.e. a public-private partnership at the country-level to best design inclusive proposals and best implement and maximize the impact of Global Fund grants. The CCM creates a rich, sometimes difficult forum for conversations on how best to design and implement a program. Private Sector Technical Partners

The Network of partners in-country is crucial for the success of country-led efforts supported by the Global Fund Main message: A slide representing the ‘Global Fund world’ however this time highlighting all the different partners that should be/need to be engaged at both the global and country levels for the Global Fund to be successful in supporting the mitigation of HIV/AIDS, tuberculosis & malaria. As a financing entity, the Global Fund relies heavily on in-country partners including bilaterals & multilaterals to provide support to countries with grant implementation. Examples of partner activities: Resource mobilization Parallel financing Technical assistance to prepare proposals Strengthen linkages to existing country-led efforts Capacity building support for implementing parties Monitoring of impact and additionality Advocacy and fund-raising

Comments/Questions ?

Global Fund Governance A partnership of stakeholders Civil Society Technical Partners Private Sector Donor & Recipient Governments NGOs North NGOs South Communities affected by the three diseases Donors (8) Recipients (7) Private Sector Foundations The Board’s 24 members (20 voting members) represent a unique partnership of both public and private stakeholders in the global fight against these diseases WHO* UNAIDS* World Bank* Switzerland *non voting members 21

General Principles of the Global Fund Operates as a financial instrument, not an implementing organization Makes available and leverages additional financial resources Supports programs that reflect national ownership Operates in a balanced manner in terms of different regions, diseases, and interventions Pursues an integrated and balanced approach to prevention and treatment Evaluates proposals through independent reviews Establishes a simplified, rapid, and innovative grant-making process and operates transparently, with accountability 22

The Global Fund is a Swiss foundation constituted by four bodies, including an international Board, an expert Technical Review Panel and a day-to-day Secretariat Technical review of proposals Biannual counsel on policy Technical Review Panel Board Partnership Forum Overall governance, approval of funding for proposals, budget Standing members Meets to review proposals Ad hoc composition Meets every two years Main messages: To understand the role and functions of the LFA, it is important to have a fundamental understanding of the Global Fund, the ‘bodies’ that constitute the Global Fund, and their respective roles. The Global Fund is a Swiss foundation constituted by four bodies: a Board (of Directors), an expert Technical Review Panel, a Secretariat and a partnership forum. The Board makes executive decisions concerning the functioning of the Global Fund, policy decisions, approves funding and approves the Secretariat’s annual budget. The Secretariat manages the ‘day-to-day’ work of the Global Fund finalizing grant agreements and disbursing funds to countries that perform and fulfill their periodic targets. The Technical Review Panel consists of technical (medical) experts (i.e. doctors of the three diseases and persons with knowledge of health systems issues) who review proposals submitted to the Global Fund from countries. The TRP makes funding recommendations to the Board. It is the Board though that decides whether or not a proposal will be funded. It bases its decisions on the recommendations of the TRP. The Partnership Forum consists primarily of NGO partners which meet every two years to discuss the strategy of the Global Fund and specific policy development. The Global Fund was established in 2002 to be a ‘financing entity’ – to push large amounts of resources to countries with dire needs to fight the three pandemics. The Global Fund (ie Secretariat) therefore finances programs against the three diseases in developing countries. The Global Fund does not implement grants. Nor does the Global Fund design programs for countries. One of the fundamental principles of the Global Fund is the principle of ‘country ownership’. Countries submit proposals. They are reviewed by the TRP for their technical merit. The Board approves/doesn’t approve a proposal. The country is responsible for implementing the grant. The Global Fund therefore has no country offices. All its staff are based in Geneva. Fund Portfolio Managers travel often to the countries they manage. Countries may experience difficulties, challenges or bottlenecks implementing Global Fund grants. Technical partner agencies and other partners in-country will assist in their resolution. Secretariat Based in Geneva

Challenges Many CCMs do not have true representation CCM size and effectiveness Weak constituency consultation and information sharing PR-CCM tensions exist Communication between PR-CCM-LFA not optimal PR and Sub-recipient selection is not transparent Oversight is not optimal