CCM Eligibility and Performance Assessment Guidelines

CCM Eligibility and Performance Assessment (EPA) Dechen Wangmo Date: 26thMay, 2016 Venue: Rachog Pel Hotel, Thimphu

Why change? Operationalize human rights principles that include non- discrimination, gender equality and participation of key affected populations through out the grant cycle Enforceable and compulsory for grant signing as of January 2015

What? CCM Eligibility and Performance Assessment (EPA) evaluates CCM compliance with CCM Eligibility Requirements 3 to 6 (and Minimum Standards, as of January 1 2015) to determine the level of functionality of a CCM, and ultimately aims to improve overall CCM performance The EPA is a self-assessment completed by the CCM (that must be facilitated by a TA provider) via an online form that measures performance against indicators related to both the Eligibility Requirements and Minimum Standards. Timing: The EPA should be completed prior to CN submission so as to allow time for necessary corrective actions.

Eligibility Requirement 1. Transparent and inclusive concept note development process Open and transparent PR selection process Concept note Submission 2. 3. 4. Oversight planning and implementation Document the representation of affected communities Processes for electing non-government CCM member. Management of conflict of interest on CCMs Annually 5. 6.

New: Minimum Standards What changed? Minimum Standards represent minimum criteria considered vital for effective CCM performance based on accumulated experience.As of January 1, 2015, compliance with them will also bea condition in order to be eligible for funding. Before January 1 2015 As of January 1, 2015 Recommendations Recommendations Standards Standards Minimum Standards Minimum Standards Eligibility requirements (ERs) Eligibility requirements (ERs) = Compliance with CCM Eligibility Requirements (and Minimum Standards as of January 1 2015) 5

Minimum Requirements 3. Oversight planning and implementation 1. The CCM has an oversight plan which details specific activities, individual and/or constituency responsibilities, timeline and oversight budget as part of CCM budget. 2. The CCM has established a permanent oversight body with adequate set of skills and expertise to ensure periodic oversight. 3. 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 3. Oversight planning and implementation 1. The oversight body conducts oversight activities. 1. The CCM takes decisions and corrective action whenever problems and challenges are identified. 2. The CCM shares oversight results with the Global Fund Secretariat and in-country stakeholders quarterly

Minimum Requirements 4. CCM membership of affected communities, including and representing PLWD and KAP. 1. The CCM ensures adequate representation of key affected populationstaking into account the socio-epidemiology of the three diseases. 2. The CCM ensures adequate representation of PLWD, taking into account the socio-epidemiology of the three diseases. The Secretariat may waive the requirement of representation of Key Affected Populations as it deems appropriate to protect individuals

Minimum Standards 4. CCM membership of affected communities, including and representing PLWD and KAP. 1. The CCM has balanced representation of men and women (Minimum 30% : the Global Fund Gender Equality Strategy clarifies how women and girls are key affected groups in the context of the 3 diseases).

Minimum Requirements 5. Processes for electing non-government CCM member 1. All non-governmental constituencies represented on the CCM selected their representative(s) on their own, through a transparent and documented process.

Minimum Standards 5. Processes for electing non-government CCM member 1. CCM membership comprises a minimum of 40% representation from national civil society sectors. 2. CCM has clearly defined processes of soliciting inputs from and providing feedback to their constituencies. 3. The CCM elects its Chair and Vice-Chair(s) from different sectors and also follows good governance principles of periodic change and rotation of leadership

Minimum Requirements 6. Management of conflict of interest on CCMs 1. The CCM has a conflict of interest (CoI) policy with rule and procedures to avoid or mitigate CoI, and CCM members sign a CoI declaration form. 2. CM meeting minutes demonstrate that CCMs follow the procedures to prevent, manage and mitigate CoI.

Minimum Standards 6. Management of conflict of interest on CCMs 1. To guarantee effective decision making, the CCM ensures that the number of members in the CCM with CoI does not exceed 1 person per constituency (excluding Ex-Officio Members with no voting rights).

Process Process: CCM Eligibility and Performance Assessment (EPA) II# # Diagnostic# I# Preparations 1 4 2 5 6 GF# (CT)# ccommunicate s.to.CCM. regarding. request..for. EPA.TA.# 3 TA..Provider. presents.results. of.the.complete. diagnostic.to. CCM. TA.provider. conducts. interviews# TA.and.CCM.decide. if.an.improvement.. plan.will.be.needed# TA# provider# facilitates.the. CCM.EPA. CCM. selects..TA. provider# If# the# ER# # are# # met,# GF# grants# the# CCM# Clearance# for# # a# year# # # 10 9 8 7 GF.checks.the. improvement.plan. progress.when.a.Concept. Note.is.submitted.and. determines.CCM. compliance# GF.advises.on. improvement.plan.. reasonableness.and.. facilitates.support.if. needed. TA.provider.and. CCM.design.an. action.plan.to. address.gaps.and. share.with.GF# # CCM# .fixes.outstanding. issues.before.the.Concept. Note.submission. III## Improvement# Plan# Design# and# Implementation# Monitoring# Improvement# # Plan# Implementation# 2014 11

CCM Eligibility and Performance Assessment (EPA) Pillars Process Improvement# Plan# Diagnostic# Pillar 1 Pillar 2 Pillar 3 Stakeholder's Interview (getting the dynamics) TA Provider CCM EPA Online Form (Desk review) Developing Improvment plan Shared -> 50/50 TA Provider/CCM CCM CCM facilitates process (i.e. help schedule interviews) CCM self-evaluates (i.e. sets compliance ratings) CCM co-authors the plan with TA provider TA provider facilitates (i.e., provides CCM with info as to how to interpret indicators) TA provider conducts interviews TA provider co-authors plan with CCM

Results Eligibility Requirement Indicat or Ref. Performance rating Requirements The CCM has an oversight plan which details specific activities, individual and/or constituency responsibilities, timeline and oversight budget as part of CCM budget. 3 A Req. 3 The CCM has established a permanent oversight body with adequate set of skills and expertise to ensure periodic oversight. 3 B 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 3 C The CCM ensures adequate representation of key affected populations1 taking into account the socio-epidemiology of the three diseases. 2 G Req. 4 The CCM ensures adequate representation of PLWD, taking into account the socio-epidemiology of the three diseases. 2 H Req. 5 All non-governmental constituencies represented on the CCM selected their representive(s) on their own, through a transparent and documented process. 3 J The CCM has a conflict of interest (CoI) policy with rules and procedures to avoid or mitigate CoI5, and CCM members sign a CoI declaration form. 2 N Req. 6 CCM meeting minutes demonstrate that CCMs follow the procedures to prevent, manage and mitigate CoI. 1 O

Results Indicator Ref. Minimum standard Performance rating 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. 3 D 3 The CCM takes decisions and corrective action whenever problems and challenges are identified E The CCM shares oversight results with the Global Fund Secretariat and in-country stakeholders quarterly through the process defined in its Oversight Plan. 2 F The CCM has balanced representation of men and women (the Global Fund Gender Equality Strategy clarifies how women and girls are key affected groups in the context of the 3 diseases). 2 I CCM membership comprises a minimum of 40% representation from national civil society sectors.4 2 K CCM has clearly defined processes of soliciting inputs from and providing feedback to their constituencies that selected them to represent their interests in the CCM 1 L The CCM elects its Chair and Vice-Chair(s) from different sectors (government, national civil society and development partners ) and also follows good governance principles of periodic change and rotation of leadership according to CCM by-laws. 2 M To guarantee effective decision making, the CCM ensures that the number of members in the CCM with CoI does not exceed 1 person per constituency (excluding Ex-Officio Members with no voting rights). 1 P

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