A Guide to Building and Running an Effective CCM
Third Edition
By Katy Pullen and David Garmaise
June 2014
A Guide to Building and Running an Effective CCM
Third Edition.
Copyright © Aidspan and Alliance Regional Technical Support Hub for South Asia. June 2014.
For further information, please contact:
Aidspan
P.O. Box 66869-00800
Nairobi, Kenya
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Phone +254-(0)-20-418-0149
www.aidspan.org
Alliance Regional Technical Support Hub for South Asia
6 Community Centre, Zamrudpur
Kailash Colony Extension
New Delhi 110 048, India
Email:
www.southasiahub.org
Reproductions
This document may be reproduced in whole or part without permission of Aidspan or the Alliance Regional Technical Support Hub for South Asia provided full source citation is given and reproduction is not for commercial purposes.
Suggested citation: Aidspan and the Alliance Regional Technical Support Hub for South Asia (2014), A Guide to Building and Running an Effective CCM – Third Edition. Nairobi/New Delhi.
TABLE OF CONTENTSACKNOWLEDGEMENTS 4
CHAPTER 1: INTRODUCTION 5
CHAPTER 2: THE GLOBAL FUND AND CCMS 8
2.1. Overview of the Global Fund and CCMs 8
2.2. The Global Fund reform agenda and the new funding model 8
2.3. CCM eligibility requirements 9
CHAPTER 3: CCM REPRESENTATION AND SIZE 14
3.1. Membership and representation on the CCM 14
3.2. CCM member selection process 19
3.3. CCM size 22
CHAPTER 4: CCM STRUCTURE 25
4.1. Officers and committees 25
4.2. CCM secretariat 27
4.3 CCM Terms of reference 28
CHAPTER 5: HOW A CCM SHOULD FUNCTION 31
5.1. Governance principles 31
5.2. Effective leadership 32
5.3. Equality among CCM members 32
5.4. Transparency in CCM processes 33
5.5. Conflict of interest 33
5.6. Conflict management and arbitration within a CCM 36
CHAPTER 6: CORE FUNCTIONS OF THE CCM 39
6.1. Development of concept notes 39
6.2. Nomination of principal recipients 41
6.3. Oversight of grant implementation 43
CHAPTER 7: CROSS-CUTTING FUNCTIONS OF THE CCM 52
7.1 Communication and information sharing 52
7.2. Harmonisation and aid effectiveness 55
CHAPTER 8: CCM ELIGIBILITY AND PERFORMANCE ASSESSMENT 58
8.1 The CCM self-assessment 59
8.2 Interviews with stakeholders 60
8.3 CCM improvement plan 61
8.4 Submission of the assessment and next steps 62
CHAPTER 9: THE GLOBAL FUND’S CCM FUNDING POLICY 65
CHAPTER 10: ACCESSING TECHNICAL ASSISTANCE 68
ACKNOWLEDGEMENTS
This publication was prepared jointly by Aidspan and the Alliance Regional Technical Support Hub for South Asia. The final draft was written by Katy Pullen, consultant, and David Garmaise, Aidspan’s Senior Analyst. The authors would like to thank the following people for their valuable contributions: Iryna Reshevska (Grant Management Solutions); René-Frederic Plain and Maria-Cecilia Boada De Tapia (CCM Hub, Global Fund Secretariat); Joydeep Sen (Alliance Regional Technical Support Hub for South Asia; Angela Kageni (Aidspan); Lucas Mwangi (Aidspan); and Renato Pinto (International HIV/AIDS Alliance).
This publication also benefitted from the contributions of participants at a peer review workshop held in September 2013, which included Tahmina Begum, Maria-Cecilia Boada De Tapia, Phuntshok Chhoden, Elizabeth Mvula Choseni, Jenniffer Dietrich, Julius Lambi, Tendai Florence Mbengeranwa, Greg Munro, Eamonn Murphy, Inga Oleksy, Amit Kumar Pandey, Shaleen Rakesh, Iryna Reshevska, Dr. Sudath Dharmapriya Samaraweera, Tatiana Shoumilina, Samanta Sokolowski, Dr. Anupong Sujariyakul and Brohmsek Yen-ura.
CHAPTER 1: INTRODUCTION
This chapter provides some background information on the guide; describes its purpose and target audience; and outlines its structure. A section on terminology is included.
Background
This guide is an updated edition of “The Aidspan Guide to Building and Running an Effective Country Coordinating Mechanism (CCM)” published in September 2007 (Second Edition). While the first two editions of this guide were produced solely by Aidspan, this third edition was a collaborative effort involving Aidspan and the Alliance Regional Technical Support Hub for South Asia. Recent developments at the Global Fund, including the introduction of the new funding model (NFM), involve an enhanced role for CCMs. In light of these changes, the publication of this revised edition is timely.
This third edition has been expanded to include new sections and chapters based on suggestions and recommendations by readers of the second edition and feedback from peers that we consulted. These new chapters include content on the NFM, the Global Fund’s CCM Funding Policy and the CCM eligibility and performance assessment process introduced in 2014. Chapter summaries have also been included for the first time to highlight the key points.
Purpose and target audience
This publication is designed to provide practical guidance on building, strengthening and effectively running a CCM. The guide provides overview information. It does not go into detail about every aspect of the CCM. More specific information can be found via the many links provided, including in the “Further Reading” boxes located throughout the guide.
The target audience for this guide is CCM members and staff of CCM secretariats. Other stakeholders who may find this guide helpful include principal recipients (PRs) and organisations and individuals that are represented on CCMs or work closely with CCMs. Much of the content of this publication applies to sub-national CCMs (where these exist) and may also be relevant to regional coordinating mechanisms.
Structure of the guide
The guide is divided into ten chapters, as follows:
Following this introductory chapter, Chapter 2 provides a brief overview of the Global Fund, including recent reforms, and a description of the eligibility requirements CCMs have to meet in order to access funding.
In Chapter 3, we discuss the composition of CCMs and how CCM members are selected. This chapter also discusses considerations related to the size of the CCM. Chapter 4 examines issues related to the structure of the CCM, including officers (chair and vice-chair), committees and the CCM secretariat. This chapter also contains a section on CCM terms of reference.
Chapter 5 is devoted to a discussion of how a CCM should function. It contains sections on good governance, effective leadership, equality among CCM members, and transparency in CCM processes. This chapter also discusses how CCMs should handle issues related to conflict of interest. Finally, this chapter explains how CCMs can manage conflicts that may arise among members of the CCM.
In Chapter 6, we focus on the three core functions of the CCM: development of concept notes; nomination of principal recipients; and oversight of grant implementation. Chapter 7 reviews two cross-cutting functions of CCMs: communication and information sharing; and harmonisation and aid effectiveness.
Chapter 8 describes the Global Fund’s process for the annual eligibility and performance assessments carried out for each CCM. This includes a self-assessment by the CCM, interviews with stakeholders and the preparation of a CCM improvement plan. In Chapter 9, the Global Fund’s CCM Funding Policy is explained.
Chapter 10 provides examples of when the CCM may require technical assistance and discusses the advantages of developing a TA plan.
The guide contains text boxes of various shapes and sizes. Most of them are identified by a symbol as per the following legend:
þ / For exampleCase study
Clarification
Summary of key points
Further reading
The “For example” boxes contain links to policies, manuals and other documents developed by CCMs, sometimes with the assistance of TA providers.
Terminology
We use “terms of reference” to describe to the CCM’s governance documents (sometimes referred to by CCMs as “bylaws,” “operating manuals,” etc.).
We use the generic term “committee” to refer to CCM committees, working groups, task teams, etc.
In this guide, the term “stakeholders,” loosely defined, refers to organisations that participate in Global Fund-related activities in country or that have a stake in the outcome of such activities.
We use the generic term “key affected populations” to refer to sub-populations affected by the diseases (also known as “vulnerable,” “marginalised” or “most-at-risk” populations).
CHAPTER 2: THE GLOBAL FUND AND CCMS
This chapter provides a brief overview of the Global Fund and CCMs, and recent reforms, including the introduction of a new funding model. A large part of the chapter is devoted to a description of the eligibility requirements CCMs have to meet in order to access funding.
2.1. Overview of the Global Fund and CCMs
The Global Fund to Fight AIDS, Tuberculosis and Malaria (the Global Fund) was created in 2001 as an innovative financing mechanism. The Global Fund operates as a partnership between governments, civil society, the private sector (including businesses and foundations) and affected communities.
The Global Fund is guided by a set of core principles, the most important of which are performance-based funding, country ownership, transparency, accountability, gender equality and respect for human rights. Many of these principles also apply to the operations of country coordinating mechanisms (CCMs).
The Global Fund does not maintain country offices. Instead, it relies on CCMs, principal recipients (PRs) and other local stakeholders to ensure resources are used efficiently to help those most in need.
Each country wishing to apply for funding from the Global Fund must have a CCM that includes representatives from the public and private sectors, civil society and development partners. Membership usually includes governments, NGOs, multilateral or bilateral agencies, academic institutions, private businesses, and people living or affected by with HIV, TB and malaria. The CCM does not handle Global Fund financing itself, but is responsible for developing and submitting funding applications and overseeing how Global Fund resources are used.
2.2. The Global Fund reform agenda and the new funding model
In November 2009, the Global Fund began introducing a series of reforms that have affected how grants are managed. Many PRs with multiple grants saw their grants consolidated into single streams of funding. A new system of performance reviews was introduced such that all grants for a given disease in a given country were reviewed at the same time.
In November 2011, the Global Fund Board adopted a new strategy for the period 2012 – 2016. As part of this strategy, the Fund developed a new funding model (NFM) to replace the rounds-based funding system. The NFM aims to provide implementers of grants with more flexible timing, better alignment with national strategies and greater predictability of the level of funding available. It also promotes more active engagement with implementers and partners, including the CCM, throughout the application process and grant implementation. Under the NFM, the role of CCMs has been expanded in the early stages of the application process (see Chapter 6 in relation to concept note development and the country dialogue processes).
More information about the NFM is available on the Global Fund website here. See also “The Aidspan Guide to Understanding the New Funding Model.”
2.3. CCM eligibility requirements
CCMs are required to meet certain requirements to be eligible for Global Fund financing. They used to be called “minimum requirements” but are now referred to as “eligibility requirements.” They apply to the structure and operations of the CCM and the processes used to prepare proposals and nominate PRs. There are six requirements in all, related to:
1. A transparent and inclusive concept note development process
2. An open and transparent PR selection process
3. Oversight planning and implementation
4. Membership of affected communities on the CCM
5. Processes for non-government CCM member selection
6. Management of conflict of interest on CCMs
The CCM eligibility requirements were updated in 2013. As part of the update, new minimum standards were introduced. The minimum standards will be compulsory from January 2015.
The tables on the following pages provide details on the eligibility requirements, including the new minimum standards.[1] The information is taken from the Global Fund document, “Guidelines and Requirements for Country Coordinating Mechanisms” (issued in November 2013), available on the CCM pages of the Global Fund website here. Additional information on CCMs is available on the same site.
Note: In the balance of this guide, we refer frequently to the eligibility requirements.
Table 2-1: Requirements 1 and 2 – Concept note development and PR selection
Requirement 1:The Global Fund requires CCMs to:
i. Coordinate the development of all concept notes through transparent and documented processes that engage a broad range of stakeholders – including CCM members and non-members – in the solicitation and the review of activities to be included in the application.
ii. Clearly document efforts to engage key affected populations in the development of concept notes, including most-at-risk populations.
Requirement 2:
The Global Fund requires all CCMs to:
i. Nominate one or more PR(s) at the time of submission of their application for funding.
ii. Document a transparent process for the nomination of all new and continuing PRs based on a clearly defined and objective criteria.
iii. Document the management of any potential conflicts of interest that may affect the PR nomination process.
Table 2-2: Requirement 3 – Grant implementation oversight
Requirement 3:Recognizing the importance of oversight, the Global Fund requires all CCMs to submit and follow an oversight plan for all financing approved by the Global Fund. The plan must detail oversight activities, and must describe how the CCM will engage program stakeholders in oversight, including CCM members and non-members, and in particular non-government constituencies and people living with and/or affected by the diseases.
Operational components of Requirement 3 / è The CCM has an oversight plan which details specific activities, individual and/or constituency responsibilities, timeline and oversight budget as part of CCM budget.
è The CCM has established a permanent oversight body with adequate set of skills and expertise to ensure periodic oversight.
è The oversight body (OB) or CCM seeks feedback from non-members of the CCM and from people living with and/or affected by the diseases.
Minimum standards attached to Requirement 3 / è The oversight body conducts oversight activities to discuss challenges with each PR and identifies problems, potential reprogramming and corresponding reallocation of funds between program activities, if necessary.
è The CCM takes decisions and corrective action whenever problems and challenges are identified.
è The CCM shares oversight results with the Global Fund Secretariat and in-country stakeholders quarterly through the process defined in Oversight Plan.
Table 2-3: Requirement 4 – Membership of affected communities