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CCM Oversight Plan

REPUBLIC OF ZAMBIA

CCM of The Global Fund

to Fight HIV/AIDS, TB & Malaria

Zambia Country Coordinating Mechanism(CCM-Z)

Oversight Plan

Country Coordinating Mechanism

Lusaka, Zambia

Preface

This Oversight Plan aims to guide the Country Coordinating Mechanism Zambia in carrying out its grant oversight responsibilities. It provides a framework for consistent, transparent oversight by CCM-Z of the implementation of Global Fund grants. This plan outlines the CCM-Z oversight procedures and processes.

Intended users of this manual are all members of CCM Zambia, its secretariat, and specifically the members of the CCM Zambia Oversight Committees.

Inquiries regarding the content of this manual should be directed to the Country Coordinating Mechanism Zambia.

Chairperson

Country Coordinating Mechanism Zambia

(Technical support for this manual was made possible by the American People through USAID and the United States Presidents Emergency Plan for AIDS Relief (PEPFAR). The contents of this document do not necessarily reflect the views of USAID, the United States Government, or the Global Fund to Fight AIDS, Tuberculosis and Malaria.)Contents

1.0Introduction5

1.1Definition and Mandate5

1.2Principles of CCM OversightError! Bookmark not defined.

2.0Institutional Arrangements: Oversight Roles and Responsibilities7

2.1Country Coordinating Mechanism Zambia (CCM-Z)7

2.1.1Full CCM-Z7

2.1.2CCM-Z Oversight Committees8

2.1.3CCM-Z Secretariat8

2.2Principal Recipients9

2.3Sub-recipients9

2.4The Global Funds Local Fund Agent (LFA)10

3.0Oversight System10

3.1Identification of a Grants Programmatic Indicators for Oversight10

3.2Oversight Data Management and Reporting Tool The Dashboard11

3.3Sources of Information11

3.4Regular Data Collection by PRs12

3.5CCM-Z Analysis and Reporting13

3.6CCM-Z Decision Making and Follow-up13

3.7Reporting and Communications15

3.8Orientation and Training of CCM-Z Members15

3.9Oversight Work Plan and Budget15

3.10Indicators of the CCM-Zs own Oversight Performance16

Annex 1 Guidelines for CCM-Z Oversight Site Visits19

Annex 2 Site Visit Reporting Forms21

Annex 3 Orientation to Oversight for CCM-Z Members Sample Agendas23

Annex 4 ToR: Finance, Audit & Procurement Committee27

Annex 5 ToR: Programme Implementation Oversight Committee29

Annex 6 Dashboard Activity Cycle31

Annex 7 Framework of CCM-Z Oversight Activities and Frequency32

Terms and Acronyms

CCM

Country Coordinating Mechanism

CCM-Z

Country Coordinating Mechanism of Zambia

Cttee

Committee

CP

condition precedent

FPM

Fund Portfolio Manager (Global Fund staff overseeing grants)

LFA

Local Fund Agent (of the Global Fund)

M&E

monitoring and evaluation

PR

principal recipient

PU/DR

Progress Update and Disbursement Request (by PR to Global Fund)

SR

Sub-recipient

ToR

Terms of Reference

Technical support for this Oversight Plan was made possible by the American People through USAID and the United States Presidents Emergency Plan for AIDS Relief. The contents of this document do not necessarily reflect the views of USAID; the United States Government; or the Global Fund to Fight AIDS, Tuberculosis and Malaria.

Zambia Country Coordinating Mechanism

CCM Oversight Plan

Introduction

(The core principle of oversight is to ensure that resources are being used efficiently and effectively for the benefit of the country.)Oversight of Global Fund grants is a core function of the Country Coordinating Mechanism (CCM) and covers proposal development, grant negotiation, grant implementation, and grant closure. It is mandated by the CCM Manual of Procedure, Section 2.0: The CCM assumes the responsibility for carrying out five major functions including oversight of Global Fund project implementation.

This Oversight Plan provides the CCM-Z with a framework for consistent, transparent oversight of the implementation of Global Fund grants in Zambia-. It outlines the oversight procedures and processes. This plan is written to:

Guide CCM-Z members in their oversight roles and responsibilities

Support Principal Recipient(s) in the implementation of grants

Identify bottlenecks in grant implementation and offer solutions

Be informed of grant implementation for purposes of transparency, accountability, and the preparation of new grant proposals

Promote stronger relationships between the PR(s) and the CCM-Z

Describe the oversight process to other grant stakeholders

Definition of Oversight

Oversight is a coordinated set of activities including gathering information, analyzing information, taking action, and reporting on results in order to support and ensure that grant activities are implemented as planned, and that issues and bottlenecks in grant implementation are identified and resolved.

(Gather InformationAnalyze informationIdentify problemsbottlenecksTake actionResolve problemsbottlenecksReportonResults )

Principles of CCM Oversight

Several principles of CCM Oversight provide the framework for this Oversight Plan:

1. Oversight is a national responsibility. Following the Global Funds principle of performance-based funding, disbursements for on-going grants as well as the funding of future proposals depend on documented performance. The CCM has a national responsibility to ensure that Global Fund resources are being used efficiently and effectively. As stated in the Global Funds Guidance Paper on CCM Oversight, the core principle of oversight is to ensure that resources financial, material, and human are used efficiently and effectively for the benefit of the country.[footnoteRef:2] CCMs therefore have a national perspective, with a unique responsibility to coordinate the overall management of Global Fund grants within the country. [2: Guidance Paper on CCM Oversight, www.theglobalfund.org/documents/ccm/GuidancePaperOnCCMOversight.pdf, page 2]

2. Oversight is different from Monitoring and Evaluation. Monitoring and evaluation of activities focuses on detailed activities of program implementation, and are the appropriate responsibility of Principal Recipients and other implementing agencies. In contrast, oversight focuses on the big picture of grant implementation. It is a scan across grants to identify cross-cutting issues, and its emphasis is on identifying and resolving major issues threatening successful grant performance.[footnoteRef:3] [3: Ibid ]

3. Oversight focuses on several key areas. Oversight typically focuses on several questions that are at the core of effective grant implementation:

Where is the money?

Where are the drugs, medical supplies, and equipment?

Are Sub Recipients receiving required resources and technical assistance as planned?

Are the grants being implemented as planned?

Are the results meeting the performance targets?

4. Oversight is cyclical. Oversight follows grant reporting cycles for reviewing the performance of Principal Recipients as program managers, the timely execution of work plans, and technical results compared to quarterly and annual targets.

5. Oversight is a legitimate CCM function with which Principal Recipient(s) must comply. The Global Fund requires that CCMs must hold Principal Recipients accountable for resources given to the country: In all cases, the Global Funds grant agreement includes a number of articles that give the CCM the legal authority to perform its role, and mandates the PR to cooperate with the CCM in carrying out its oversight responsibilities. These articles include:

i. Article 7a: the CCM oversees the implementation of programs financed by the Global Fund.

ii. Article 7b: PRs are legally obligated to cooperate with CCMs and to be available to meet with them regularly to discuss plans, share information, and communicate on program-related matters. PRs are also legally obligated to provide program-related reports and information to the CCM upon request.

iii. Article 15: PRs are legally obligated to provide CCMs with a copy of periodic reports submitted to the Global Fund.

iv. Article 23: The CCM is consulted on any decisions to change PRs.

v. Article 25: PRs are legally obligated to copy CCMs on all notices, requests, documents, reports, or other communication exchanges with the Global Fund Secretariat.

vi. Article 28b: The PR implements programs on behalf of the CCM.

Oversight by the CCM must be exercised with the support of, and in collaboration with Principal Recipients (PRs). CCMs are required to put in place and maintain a transparent, documented process to oversee program implementation[footnoteRef:4] and PRs are required to provide the information needed for oversight. [4: Guideline on the Purpose, Structure, Composition and Funding of Country Coordinating Mechanisms and Requirements for Grant Eligibility, Global Fund website: www.theglobalfund.org/documents/ccm/Guidelines_CCMPurposeStructureComposition_en.pdf, page 4.]

Oversight requires strategic direction by the CCM to the PRs as well as consistent follow-through to assure that sub-recipients (SRs) comply with oversight recommendations and requested corrective actions.

Institutional Arrangements: Oversight Roles and Responsibilities

The key institutions involved in the Global Fund grants, starting with the overall responsibility, include the CCM, the CCM-Z Secretariat, the Principal Recipients, the Sub-Recipients, and the Global Funds Local Fund Agent (LFA).

Country Coordinating Mechanism Zambia (CCM-Z)Full CCM-Z

The full CCM has the overall responsibility for oversight. While some of the functions below may be delegated to the CCM-Zs Oversight Committees (see below) the CCM-Zs responsibility is to:

Gather information about the grants

Understand the status and progress of each grant through dashboard reports to the CCM-Z[footnoteRef:5] and Progress Update and Disbursement Requests (PU/DRs) submitted by each PR to the Global Fund, taking into consideration the comments of the Oversight Committees [5: A dashboard is an MS Excel file which summarizes for oversight purposes -- each grant in areas of finance, management, and program, with indicators selected to answer the key oversight questions.]

Seek clarification from the PR on issues arising from the reports

Seek additional information through site visits as needed (see Annexes 1 and 2 for site visit guidelines)

Review other information as needed

Analyze information

Identify and understand key successes

Identify and understand key issues and bottlenecks

Review the recommendations of the Oversight Committees

Take action

Decide on which actions should be taken to overcome problems and bottlenecks and to strengthen the grants (actions may include gathering more information needed to resolve a problem)

Receive feedback on and monitor the status of the recommended actions

Report

Report back to the CCM-Z on the progress (to be included in minutes)

In addition, the CCM-Z will

Review this oversight plan periodically to address challenges and issues emerging over time

Organize sessions at least once a year to orient or re-orient its members to their oversight role (see Annex 3 for sample orientation agendas)

CCM-Z Oversight Committees

To fulfill its oversight function, the CCM-Z has delegated the oversight activities to two committees: i) Finance, Audit & Procurement Oversight Committee and ii) Programme Implementation Oversight Committee. These Oversight Committees are established in the CCM-Zs Manual of Procedure, as is the selection of committee members (including both CCM members and external technical experts). The main function of the CCM-Zs Oversight Committees is to support the full CCM-Z in overseeing each grant. Members must be particularly sensitive to conflict of interest.

Specifically, the Oversight Committees will:

Gather information about the grants

Review all Progress Update and Disbursement Requests (PU/DRs) submitted by each PR to the Global Fund

Review and make comments on the dashboard reports

Seek clarification from the PR on issues arising from the dashboard reports

Seek additional information through site visits as needed, with each grant to be visited at least every 12 months (2 trips a year, each planned to cover multiple grants)

Review other information as needed

Analyze information:

Identify key issues and bottlenecks

Develop recommendations for consideration by Full CCM-Z

Present the dashboard and other oversight reports, with recommendations to the Full CCM-Z

Take action

Monitor the follow-up of the full CCM-Zs decisions for needed actions

Report

Report to the CCM-Z on the process for follow up on the CCM-Z decisions (such as site visits, and special investigation)

It is expected that each Oversight Committee will meet at least once per quarter, synchronizing with the quarterly CCM-Z meetings and quarterly dashboard reports. Annexes 4-5 include the Terms of Reference for the Oversight Committees.

CCM-Z Secretariat

The Secretariat plays an important role in supporting the work of the Oversight Committees and CCM-Z by:

Organizing orientations and capacity building for CCM-Z members.

Assisting with routine reporting by the Oversight Committees to the full CCM-Z

Reviewing the dashboard submitted by each PR: data, comments, and graphs

Providing the dashboards to the CCM-Z Oversight Committees for review, analysis, comments, and recommendations

Assisting the oversight committee to seek clarification from the PR on issues identified through the dashboard reports

Circulating to CCM-Z members the dashboard reports with the Oversight Committees comments and recommendations recorded

Recording in each dashboard the CCM-Zs decisions regarding any actions to be taken to support the grant

Maintaining the dashboard archive

Assisting the PR and Oversight Committees to organize and carry out site visits

Keeping an up-to-date log of CCM-Z actions and status of the implementation of the actions

Principal Recipients

An organization acting as the Principal Recipient (PR) has the overall responsibility for monitoring and evaluating its grant. The PR receives reports from sub-recipients, verifies and analyses the data to ensure completeness, accuracy and quality. The PR then completes the Progress Update and Disbursement Request (PU/DR) report, which is submitted to the LFA within 45 days of the end of the reporting period.

In accepting a Global Fund grant, a PR agrees to support the CCMs oversight role. The Principal Recipient must cooperate with the CCM and the Global Fund The Principal Recipient shall be available to meet regularly with the CCM The Principal Recipient shall provide to the CCM, upon request of the CCM, a copy of the reports and material information relating to the program for information purposes. This may include but is not limited to Requests for Disbursements, items delivered to fulfill a condition precedent, implementation letters and any amendment to this Agreement. In addition, the Principal Recipient shall assist the CCM in the preparation of any Request for Continued Funding. The Principal Recipient understands that the Global Fund may, in its sole discretion, share any information about the Program with the CCM.[footnoteRef:6] [6: Grant Agreements between the Global Fund and Principal Recipient, Article 7 (b). ]

Thus, the role of a PR in the CCM-Z oversight is to:

Submit data regularly to the CCM-Z in the form of PU/DRs and dashboard reports

Submit to the CCM-Z copies of all significant documents (including Grant Agreements, Implementation Letters, audit reports, etc.)

Provide data to the CCM-Z, on request, on specific issues

Assist the CCM-Z to arrange and carry out oversight site visits

Sub-recipients

Sub-recipients and some principal recipients are responsible for direct implementation of the grants. Each sub-recipient (SR) has contractual relationship with a principal recipient (PR), and it is obligated to deliver on specific targets of the programme. These organisations are typically Civil Society Organisations (CSOs), Faith-Based Organisations (FBOs), Private Sector Organisations and Line Ministries. They submit activity and financial reports on the grants to their PR for HIV/ AIDS, TB and Malaria activities, based on their work plan and on monitoring guidelines provided by the PR.

The role of an SR in CCM-Z oversight is to:

Submit data periodically and on time to its PR (this information forms the basis of CCM_Z oversight)

Provide data to the CCM_Z, on request, on specific issues

With its PR, facilitate site visits by CCM_Z members and assist them to understand the grant

The Global Funds Local Fund Agent (LFA)

The Local Fund Agents role is to provide independent and objective advice to the Global Fund in Geneva. Although by design the Local Fund Agent (LFA) and the CCM do not communicate directly, the LFA plays an important behind-the-scenes role in oversight. Each PR reports to the Global Fund through the LFA, according to a reporting format fixed by the Global Fund and according to the due dates established in each grant agreement. Through visits to PR and SR offices and project sites, the LFA verifies the correctness of the PRs financial and programmatic data, queries the PR on specific questions, and recommends to the Global Fund in Geneva whether to disburse the funds requested. After discussions with the PR, the LFA reports its findings to the Global Fund but does not report them to the CCM: the CCM will obtain information relevant to oversight from the Global Fund Portfolio Manager. [footnoteRef:7] [7: Global Fund. Communications Protocol for Local Fund Agents. Undated; downloaded 5 Oct 2009.http://www.theglobalfund.org/documents/lfa/LFA_In-country_Communications_Protocol.pdf]

Oversight System

The system for oversight of grant implementation outlines the procedures for identification of oversight indicators and data sources, the collection of data via agreed-upon tools and processes, data management, data analysis, reporting, and use of the reports for making decisions.

Oversight is a key CCM-Z function where managing conflict of interest is particularly important to assist members to remain as impartial and unbiased as possible. Conducting oversight in accordance with the Ethics and Conflict of Interest Policy, has the purpose of ensuring fairness and transparency in the CCM-Zs decision-making process, protecting the reputation and integrity of members and organizations represented on the CCM-Z, and ensuring broad public trust, accountability, and confidence in the CCM-Zs decision-making process and grant oversight activities.

Identification of a Grants Programmatic Indicators for Oversight

After working with CCMs in a variety of countries, TGF has adopted an executive dashboard format for standardizing and streamlining the reports a CCM needs to review as part of oversight. The graphic format displays results on a limited number of indicators in order to answer the following key questions about each grant:

Where is the money?

Where are the drugs, medical supplies and equipment?

Are sub-recipients receiving the required resources and technical assistance as planned?



These questions focus on financial, management and programmatic aspects of the grants. The Global Fund grant dashboards use four financial indicators (focusing on funds disbursement, proposed budgets, and actual expenditures), six management indicators (tracking the PRs efficiency in managing the grant), and up to 10 performance/programmatic indicators. While the financial and management indicators are the same for each grant, the CCM-Z, working with the PR, will select from each grant agreements Performance Framework a maximum of 10 performance indicators which best answer the oversight questions on timely and effective grant implementation. In the selection process, priority will be given to those performance indicators that the Global Fund has identified as the most important (included in the Top Ten indicators list): the Global Fund assigns more weight to these Top Ten indicators than to others in determining its rating of a grant.

Oversight Data Management and Reporting Tool The Dashboard

The executive dashboard for the CCM-Z is the primary oversight data management and reporting tool. When a PRs data are entered, the dashboard automatically generates an oversight report. The Secretariat will be responsible for managing the dashboard file reviewing the data sent from the PR; sending the dashboard to the Oversight cttees for review, comments, and recommendations; distributing the dashboard to all CCM-Z members; entering the decisions of CCM-Z; and archiving the completed dashboard report each quarter. This responsibility requires the Secretariat to be adequately staffed and to have appropriate resources. The cycle and timing of the dashboard activities are in Annex 6. Part 1 of the Dashboard Management Manual describes in detail how the dashboard report is created and used.

Sources of Information

Sources of the information needed for oversight can be classified into six types:

existing reports (including PU/DRs and dashboards),

site visits,

PR (additional information),

the Fund Portfolio Manager,

SRs, and

Others (e.g. the GF website - Grant Performance Reports and Grant Scorecards as long as attention is paid to the timeliness of the website data)

Data on all but one of the key oversight indicators in the dashboard come completely from the Principal Recipients own systems:

All performance indicators in the dashboard oversight report are included in the PU/DR and come from the PRs M&E system.

Although the financial indicators are stated somewhat differently from those in the PU/DR, their source is the same financial system.

Management indicators track potential barriers to funding (conditions precedent [CPs], delayed reports), barriers to implementation (missing key staff, delayed SR contracting, and problems with supply of essential drugs and commodities).

However, the only routine information coming from outside the PRs own system is the management indicator on stocks of commodities at the central medical stores. Therefore, there is no need to develop different systems for gathering data to report to the CCM-Z..

The table in Part 2 of the Dashboard Management Manual describes sources of information for each part of each indicator. Each PR will adapt this table to clearly identify exactly where to find in its own systems each number in the dashboard indicators.

As mentioned above, additional information for the dashboard can be taken from the GF website (Grant Performance Reports and Grant Scorecards), as long as attention is paid to the timeliness of the website data. Also, to supplement the routine oversight indicators included in the dashboard, quantitative and qualitative information will be obtained from a variety of sources. This additional information will help the CCM and PR to understand better:

what is going well, what is not going well

lessons being learned from the programmes being implemented

quality of training being provided

whether services are reaching the right people, and

quality of services.

Sources for this additional information may include: [footnoteRef:8] [8: According to AIDSPAN, the Global Fund Secretariat plans to ask FPMs to copy their CCMs on all FPM-PR communications (David Garmaise, The AIDSPAN Guide on the Roles and Responsibilities of CCMs in Grant Oversight, March 2009, accessed at www.aidspan.org ). ]

experts (such as disease specialists, procurement experts, management specialists, auditors, etc),

program implementers and beneficiaries during site visits,

government databases,

surveys and other studies,

the Global Funds website (for Grant Performance Reports and Scorecards),

communications from the Global Fund to the PR.

Regular Data Collection by PRs

Data collection and reporting on each grant to the CCM-Z occurs quarterly. Each PR will assign dashboard responsibility to one of its staff typically someone in the PRs M&E section. This PR dashboard coordinator will (a) compile or collect the data required for each dashboard indicator agreed to by the CCM-Z, (b) organize an in-house PR review of the information, and then (c) send the Excel file to the CCM-Z Secretariat for processing.

The Secretariat will review the dashboard as soon as it is submitted: the Secretariat and the PR should work closely to ensure completeness and accuracy of the data to be reviewed by the CCM-Z.

CCM-Z Analysis and Reporting

The Oversight Committees will analyze the information submitted by the PR and make recommendations to the CCM-Z. The Committees may also identify issues that need to be clarified with the PR before the full CCM-Z meeting; thus, the Committees may hold meetings with the PR to get more information on specific issues to facilitate appropriate recommendations to the CCM-Z. The process for identifying problems or bottlenecks is laid out in Figure 1.

Figure 1: Process for identifying a problem

(Analyze information: dashboards, PU/DRs, other informationID warning signs of inadequate performanceID signs of success or unexpected good resultsDiscuss with PRIdentify problem or bottleneckInvestigate underlying factorsAuditExpert reviewSite visitPR discussionsMore informationClassify problem or bottleneck (& solution): internal (PR), external (CCM), complex (PR, CCM, FPM))

CCM-Z Decision Making and Follow-up

Once the Oversight Committees comments and recommendations are entered into the dashboard, the dashboard should be circulated to all CCM-Z members prior to the CCM meeting. During the meeting, members of the Oversight Committees present the dashboard as the oversight report to the CCM-Z. The CCM-Z should review the report, consider the recommendations of the Oversight Committees, and make decisions on the actions that should be taken on each issue. The decisions of the CCM-Z are captured in the dashboard itself to support follow up activities and track the implementation of the decisions. Decisions and the reasoning behind them are also reflected in the official minutes of the meeting.

The process for developing options for resolving specific problems is shown in Figure2.

Figure 2: Process for developing options for resolving problems

(Problem or bottleneck identified & classifiedBegin to identify options for resolving the problemConsult PRs, SRs, experts, other stakeholders or new partnersOne or more solutions identifiedCCM selects solution; assigns responsibilityOversight Committees discuss options, &recommend solution(s) Resolution led by PR or CCM or Osight Sub-Cttee or Task TeamAdditional TA if needed)

The CCM-Zs decisions will specify both the actions needed and the persons responsible, and will be recorded in both the minutes and the dashboard. The CCM-Z may engage additional technical assistance (TA) if needed. Example decisions follow.

Example actions to be done by the PR

The CCM-Z asks the PR for further information on a specific topic.

The CCM-Z asks the PR to help organize a site visit addressing a specific topic.

The CCM-Z asks the PR to make specific changes in the management of the programme to make it more efficient and effective.

The CCM-Z asks the PR to follow up a problem previously identified.

Example actions to be done by the CCM-Z

Members visit a site to investigate a problem.

A member communicates with another Ministry to clear a bottleneck.

Members mobilize additional technical assistance.

CCM-Z ask the Fund Portfolio Manager to arrange for an external, impartial evaluation of grant progress.

The CCM-Z will determine which decisions and actions are appropriate for the Secretariat to handle.

The CCM-Z Secretariat will keep a log of all the decisions made by the CCM-Z and will monitor, at least once every three months, the extent to which these actions are implemented. This monitoring will be reflected in the Recommendations and Actions pages of the dashboard as well as in the meeting minutes.

The CCM-Z should also provide feedback to the PRs on the reports that they submit and on any other issue that could improve performance.

See Annex 6 for a summary of the full cycle of dashboard activities.

Reporting and Communications

The Oversight Committees will report on its actions and findings to the full CCM-Z at every ordinary meeting. The format of routine reports will be the dashboard file, one per grant, which will be provided to every member and will become part of the CCM-Z archives kept by the Secretariat. The meeting minutes will take note of the dashboard/report and the discussion of it. Site visit reports will be written, using a standard format provided by the CCM-Z Secretariat (see Annex 2). Other reports will be oral or written as appropriate and will be recorded in the minutes.

In keeping with the Global Fund principle of transparency of the grants and of CCMs oversight, and in the spirit of all stakeholders working toward the same goal, the CCM-Z will also communicate with stakeholders who are not CCM-Z members. Grant dashboards may be used as one communication tool. However, CCM-Z members will respect the confidentiality of informal communications.

Orientation and Training of CCM-Z Members

The CCM-Z members will be oriented each year on the CCM-Zs oversight role and responsibilities (including the use of the dashboard) to enable them to make appropriate interpretations, recommendations, and decisions about each grant.

To each new member (including alternates), the CCM-Z Secretariat will provide a packet of information about the CCM-Z, including its oversight role. The CCM-Z Secretariat will also organize a general orientation of all new CCM-Z members within two months after they have been selected as members. (See Annex 3 for sample agendas for such an orientation.)

Between new-member orientations, the Secretariat will organize a workshop or session each year to refresh and harmonize CCM-Z members understanding of oversight and to identify and resolve issues they have in carrying out oversight.

In addition, the CCM-Z Secretariat will regularly check the Global Fund website (www.theglobalfund.org) and the AidSpan website (www.aidspan.org) for new information relevant to the oversight of the countrys grants. When relevant information is identified, the Secretariat will share it with CCM-Z members and with the PRs. When a CCM-Z member becomes aware of important information, he/she is expected to share it with the Secretariat for forwarding to other CCM-Z members.

The quantitative indicator for the CCM-Z to assess progress on this capacity building is:

% of CCM-Z members trained on the role of the CCM [including oversight] within the preceding 24 months.

Oversight Work Plan and Budget

Each year the CCM-Z Secretariat will draft a work plan of activities, with schedule and budget, for discussion, revision, and approval by the full CCM-Z. See Annex 7, Framework of CCM-Z Oversight Activities and Frequency, for a chart listing typical oversight activities to be incorporated into a costed work plan.

Indicators of the CCM-Zs own Oversight Performance

There are two quantitative indicators that the CCM-Z will use to track its own performance in oversight (1) broad participation in oversight, and (2) building capacity in oversight among its members. The wording of these indicators comes from the Global Fund.

Participation in oversight

The quantitative indicator for the CCM-Z to assess its progress on broad participation in oversight is:

% of planned oversight activities completed with documented participation by all CCM constituencies.

This indicator will be measured and reported to the CCM-Z by the Secretariat every quarter and will be reported to the Global Fund as part of reporting on any expanded funding award.[footnoteRef:9] [9: See The Global Fund, Step by Step Guide to CCM Funding. February 2010, rev 31 Mar 2010, p.16. www.theglobalfund.org/documents/ccm/Step_by_Step_CCM_Funding_Policy.pdf ]

The term planned oversight activities includes the following each year: development of annual oversight work plan and budget, 4 CCM-Z quarterly meetings, 4quarterly Oversight Committee meetings, 2 site visits, 1 capacity building session in oversight, for a total of 12 planned activities. Specific issue-driven site visits will not be included in the percentage because there may be times when including five or more team members will be considered too disruptive to the PRs activities. However, the CCM-Z Secretariat will keep records of and report quarterly on participation in issue-driven site visits.

The CCM Manual of Procedure defines eight constituencies. For this indicator, the constituencies will be classified broadly as three:

Government,

Non-government/civil society (including associations of persons living with disease, private sector organizations, faith-based organizations, academia/research), and

Multilateral/bilateral cooperating partners.

Thus, for this indicator, the term all constituencies means that the activity includes one or more representatives from each of the three broad constituencies.

A worksheet for recording information for this indicator follows.



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Worksheet for Recording Data for GF Oversight Indicator #1

Scheduled oversight in 12-month period

Scheduled activities each year are: 1 annual oversight work plan & budget, 4 regular CCM-Z meetings, 4 scheduled oversight committee meetings, 2scheduled field visits, and 1 workshop/session to build capacity in oversight. See Oversight Plan Section 3.10.

Work plan item #

(a)

Oversight Activity

(b)

Actual Dates of Activity

(c)

Participation by:

1. govt

2. non-govt/civil society,

3. multi-lateral/bi-lateral

(d)

Notes

Develop/Revise oversight work plan & budget (every year)

Oversight Cttee Meetings to review PR dashboards/resports (quarterly)

CCM-Z Ordinary Meeting (quarterly)

Oversight Cttee Meetings (quarterly)






Site visit #1

Site visit #2

Planned workshop or session to build CCM-Z capacity (every year)

GF Oversight Indicator #1 (required): % of planned oversight activities completed with documented participation by all CCM constituencies

Calculation: # activities in reporting period in which all three constituencies participated (column (d) above) x 100%

# activities planned in reporting period

Building Capacity in Oversight

In addition, the CCM-Z will monitor its provision of capacity building in oversight, and the indicator will be a sub-portion of the general CCM capacity building indicator suggested by the Global Fund (#7)

% of CCM-Z members trained on the oversight role of the CCM within the preceding 24 months.

For this indicator, training will include workshops and sessions with small groups with an agenda, training materials, and signed attendance sheets as supporting documentation for verification by the LFA.[footnoteRef:10] Oversight may be a component of a larger training on the role of CCM [10: See Step by Step Guide to CCM Funding, p.22, cited above.]

Although only CCM-Z Members will be included in this indicator, for internal monitoring, the Secretariat will keep a roster of training of CCM-Z Members and Alternates and will report on training at least once each year.

Annex 1 Guidelines for CCM-Z Oversight Site Visits

Site visits can be to a PRs office, an SRs office, or project implementation sites. The size of the team visiting a field site should be a maximum of 4-8 persons, including CCM-Z members, PR representatives, and observers.

There are three kinds of site visits: general orientation, routine (to get a field-based oversight perspective on how a grant is performing), and issue-driven (to address a specific issue raised during a CCM-Z or Oversight Committee meeting).

The recommended guidelines for carrying out site visits are summarized in the Summary Guide below.

The principles of transparency, cooperation, and support underlie every site visit: CCM-Z members make no surprise visits. In addition, the purpose of site visits is neither to address day-to-day management issues (a PR role) nor to audit regular reports (an LFA role).

Careful planning is key to effective, helpful oversight visits. The CCM-Z field team should have clear information on program deliverables prior to a visit. The PR should assist in providing this information and in advising on issues that the CCM-Z team should be aware of before proceeding to the site. Thus, allowing time for preparation means that the CCM-Z visitors will not waste face-to-face time asking questions for which answers have already been provided in written reports or for which clarifications can be easily given by the PR without a visit. In addition, careful planning means that PR staff will be available and prepared to respond to CCM-Z questions. Planners need to set time limits for the visit to avoid making excessive demands on the PR and SRs; and visitors need to stick to those time limits. The limits on time require careful planning to ensure key issues are addressed.

CCM-Z Role

PR Role

Plan visits with PR: no surprise visits.

Understand program deliverables.

Be familiar with PU/DR or dashboard reports.

Have clear objectives for visit.

Abide by policy for conflict of interest

Maintain confidentiality.

Set and stick to realistic time limits.

Address highest-priority issues first.

Draft report to CCM-Z Oversight Committees.

Send feedback to the host site, SR, and PR.

Work with CCM-Z to choose appropriate sites.

Assist CCM-Z to understand program, including implementation issues.

Facilitate a positive environment for visit.

Assure staff are available to answer CCM-Zs questions.

Assure information requested by CCM-Z is available.

After the site visits, the team should draft a short report (see Site Visit Reporting Forms at the end of this Annex). The Oversight Committees will review the report and make necessary recommendations to the CCM-Z in the next full CCM-Z meeting and will send feedback to the visited site, PR, and SRs.

Routine site visits will be planned with the PRs at the beginning of each year so that CCM-Z members and PRs will be able to schedule their time. Planning will include covering more than one grant in each visit and assuring that government, non-government, and international partner constituencies are represented on each field visit team.

Issue-driven site visits take place after the CCM-Z meetings as a follow-up on the decisions made regarding a specific issue, which were generally identified through the oversight reports (especially dashboards). The purpose of such problem-driven site visits is to:

Clarify issues arising from the oversight reports,

Seek additional information on specific issues to enable the CCM-Z make appropriate decisions,

Follow up on CCM-Z decisions.

Summary Guide to Site Visits, by type of visit

General Orientation

Routine

Address Specific Issue

Planning visits

Frequency

At least

every 2 yrs

2 times / yr

As decided by CCM or Oversight Cttee

The CCM will plan all site visits with the relevant PRs and SRs to allow staff to prepare adequately for the visit and to ensure availability of staff and of the information sought by the CCM. No surprise visits.

Selecting host sites and clients, by CCM and PR.

Convenient location, providing overview of grant.

Location & plan that covers >1 grant per trip

The choice of the site to be visited will be determined by the nature of the issue.

Setting realistic time limits for the visit to avoid making excessive demands on the PR and SRs. Plan to address priority issues first.

Not before 2nd period of new grant

Not before 2nd period of new grant

CCM preparation

The CCM field team should have clear information on program deliverables prior to the visit. The PR should assist in providing this information and in advising on issues that the CCM team should be aware of before proceeding to the field.

The CCM field team should avoid asking for information that is available from existing information systems such as from the dashboard or PU/DRs unless the question is for confirmation or validation.

Site visit team composition

Generally, team is 4-8 persons including CCM, PR, and other visitors.

Any member of the CCM can represent the CCM on these site visits except a PR member and others involved in direct implementation, (e.g., from an SR).

The conflict of interest policy should be applied when undertaking oversight activities.

4-8 persons

CCM representative(s)

PR host

site host

4-8 persons


PR host

site host

3 constituencies on team

4-8 persons


PR host

site host

other.

Composition of site visit team will be based on the issues identified by the CCM.

Reporting observations & results

Reporting findings, observations, recommendations to Oversight Committees, which will report to full CCM at next meeting.

Annex 2 Site Visit Reporting Forms

CCM Site Visit Recording & Reporting Form: Orientation or Routine

Grant _________________________________________________________________

PR ________________________ PR Contact Person _________________________

Which site? ____________________________________________________________

Date of visit [mm-dd-yy] __ __- __ __ - __ __

CCM Visitors

Constituency

Name

Designation

Signature

Hosts Name & Designation ________________________________________

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

1.Purpose of site visit [to be completed before the visit]:

Based on what you already know about the grant, what else do you want to know? List the specific question(s) to be answered by this site visit.

Question A.

Question B.

Question C.

2.List below your findings from this visit, grouped according to the questions above. Please include the source of the information. (Use the back or other pages if needed.)

Question A.

3.What, if anything, surprised you positively about this grant?

4.What concerns, if any, do you have about this grant?

5.Conclusions [use back if needed]

6.Recommendations to the full Oversight Committees and the CCM [use back if needed]

CCM-Z Site Visit Recording & Reporting Form: Specific Issue

Grant _________________________________________________________________

PR ________________________ PR Contact Person _________________________

Date of CCM Meeting where need for site visit was decided [dd-mm-yy] __ __- __ __ - __ __

Which site? ____________________________________________________________

Date of visit [mm-dd-yy] __ __- __ __ - __ __

CCM Visitor(s):

CCM Visitors

Constituency

Name

Designation

Signature

Hosts Name & Designation ________________________________________

- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

1.Purpose of site visit [to be completed before the visit]:

a. Describe the specific issue(s) that led to a decision to make a site visit.

b. What is the CCM visitor to learn at the site?

List the specific question(s) to be answered by this site visit.

Question A.

Question B.

Question C.

2.List the findings from this visit below, grouped according to the questions above. Please include the source of the information. (Use the back or other pages if needed.)

Question A.

3.Conclusions

4.Recommendations to the full Oversight Committees and the CCM. [use back if needed]

Annex 3 Orientation to Oversight for CCM-Z Members Sample Agendas

Sample Agenda for CCM Mini-orientation to Oversight: 2 hours

Time

Activity

Materials or handouts

09.00

Welcome, introductions

Purpose of the mini-orientation

09.15

What does the Global Fund say about oversight?

Using the CCM guidelines document, ask CCM members to read aloud the sections on oversight.

Using a sample grant agreement, ask CCM members to read aloud Article 7.

Facilitate a discussion to ensure CCM members understand their responsibility and that PRs agree to provide information to them.

CCM Guidelines

Grant agreements from the client country. Entire grant agreement if possible, or just the cover page and the page with Article 7.

10.00

to

11.00

What is CCM oversight?

Give the PowerPoint presentation (example, presentation by GMS).

Ask for questions and discussion.

Conclude the discussion with a question for the CCM: Using what you heard this morning, in which of these three areas does your CCM need to improve its capacity?

1. Structure and procedures for oversight

2. Your own capacity to carry out oversight (skills, knowledge)

3. Type and quality of information received from the PR

Discuss way forward.

Conclusions.

LCD projector

Laptop computer

PowerPoint presentation

Sample Agenda for CCM Mini-orientation: 4-hours

Time

Activity

Materials or handouts

9.00

Welcome, introductions

Purpose of the mini-orientation

9.15

What is oversight? (Participative exercise small groups)

Explain that everyone has heard about oversight, but people do not always agree on what it means.

Hand out the word cards.

Ask each person to stand up and explain what each word means in one or two sentences and say who in the Global Fund system (CCM, PR, LFA, Global Fund, MOH, other) is responsible for this activity.

Tape the words to the wall.

Explain that during the mini-orientation they will learn more about these terms and revisit them at the end of the session.

Print each word very large on a separate sheet of paper or card: oversight, supervision, audit, surveillance, monitoring, verification, evaluation.

Masking tape.

9.45

What does the Global Fund say about oversight?

Using the CCM guidelines document, ask CCM members to read aloud the sections on oversight.

Using a sample grant agreement, ask CCM members to read aloud Article 7.

Facilitate discussion to ensure CCM members understand their responsibility and that PRs agree to provide information to them.

CCM Guidelines

Round 5, 6, or 7 grant agreement from the client country. Entire agreement if possible, or just the cover page and the page with Article 7.

10.30

Coffee or tea break

10.45

What is CCM oversight?

Give the PowerPoint presentation from the orientation.

Ask for questions and discussion.

Ask whether this presentation has changed their understanding of the key words on the wall.

LCD projector

Laptop computer

PowerPoint presentation

11.30

What is your CCMs capacity for oversight?

Hand out copies of the CCM Oversight Rapid Assessment Matrix and/or show it on the wall using an LCD projector

Follow the instructions for facilitating completion of the matrix

Copies of the CCM Oversight Rapid Assessment matrix

Electronic version to show

12.30 to 13.00

Conclude the discussion with a question for the CCM: Using what you heard this morning, in which of these three areas does your CCM need to improve its capacity?

Structure and procedures for oversight

Your own capacity to carry out oversight (skills, knowledge)

Type and quality of information received from the PR.

Way forward

Sample Agenda for CCM Mini-orientation: 5 -hours (including lunch)

Session

Topic

Materials & Handouts

9.00-9.15

Welcome remarks, introductions

Participants expectations

Workshop objectives

Flip chart.

9.15-9.30

Overview of Global Fund in Zambia

Powerpoint presentation summarizing Global Fund purpose, Zambia grants, PR & CCM roles, CCM principles & composition

Powerpoint presentation

9.30 10.15

Global Fund structures and performance principles

Powerpoint presentation covering Global Fund principles; roles & responsibilities of GF-Geneva, CCM, PR, LFA; performance-based funding.


10.15-11.00

Global Fund grant process (group exercise & plenary discussion)

Each group has a set of cards.

Each group discusses chronological order of steps/cards in the grant process, tapes cards to wall.

One group presents; others discuss, share their ideas.

Print each step very large on a separate sheet of paper or card.

Masking tape.

11.00 11.30

Working break

11.30 11.45

Role of CCM in the governance of GF grants: highlight on oversight

Powerpoint presentation covering elements of governance (accountability, transparency, oversight), governance within CCM, and CCM role in governance of grants (especially oversight).


11.45-12.30

CCM minimum requirements (plenary and group work)

Powerpoint presentation of the Six Minimum Requirements for a CCM

Groups assess to what extent current CCM meets each requirement

Results are summarized on flip chart


Worksheet to record assessment of CCM performance on each requirement

Flip chart & markers

12.30-1.30

Zambia CCM Manual of Procedure (group work)

Powerpoint presentation of highlights

Small groups become familiar with how the Manual of Procedure covers: 5 core CCM functions, CCM committees, membership, member roles


Worksheet to record location in Manual & need for elaboration in standard operating procedure or other governance document

1.30 2.30

Lunch break

2.30-3.15

CCM Manual of Procedure(Plenary discussion)

Flip chart & markers

3.15-3.30

Way forward and Close of workshop

3.30

Coffee/tea break and departure

Annex 4 ToR: Finance, Audit & Procurement Oversight Committee

Background

The Global Fund requires that Country Coordinating Mechanisms (CCMs) hold Principal Recipients (PRs) accountable for resources given to the country. Similarly the Global Fund Grant Agreements require PRs to keep the Country Coordinating Mechanisms continuously informed about progress in implementation of the programme. Each PRs management should furnish the Country Coordinating Mechanisms with reports and information as will be reasonably requested.

To fulfill its oversight function, the Zambia CCM has delegated the oversight activities to two Committees, which will review and report on findings for each grant to the full CCM-Z: (1) Finance, Audit & Procurement Oversight Committee and (2)Programme Implementation Oversight Committee. Together, the committees coordinated findings and reports will provide answers to the general key oversight questions which cover financial, management, and programmatic aspects of each grant:

Where is the money?





Responsibilities of Finance, Audit & Procurement Oversight Committee

The Finance, Audit & Procurement Oversight Committee shall assist the CCM-Z in carrying out its oversight duties relating to assuring appropriate, timely and effective use of funds, health products and equipment supported by the Global Fund. The Committee will:

Assure adequate and transparent financial management, accountability and reporting,

Assure transparent, competitive and effective procurement and supply management with appropriate quality assurance mechanism and in accordance with national laws,

Ensure that adequate internal control systems are in place to protect the resources of the Zambia Global Fund Programme,

Monitor absorption capacity of grants and where necessary recommend corrective action.

The Committee will also look at programmatic and other management information to see that they are in harmony with the finance, audit, and procurement information. The Finance, Audit & Procurement Oversight Committee shall make recommendations to CCM-Z for its approval or decisions.

Committee members must declare any conflict of interest that will or could arise in the course of undertaking their duties as members of the Committee. The declaration of the interest must be made immediately as the situation arises. The member should recuse him/herself from conflicted matters under discussion by leaving the room.

Member selection, terms of office, and election of Committee Chairperson and obtaining additional technical support are addressed in the Manual of Procedure.

Specific Activities of the Finance, Audit & Procurement Oversight Committee

(1) Review the Progress Update and Disbursement Request (PU/DR) submitted to the Local Fund Agent (LFA) of the Global Fund (due 45 days after end of reporting period)

(2) Review dashboards

-assess financial and management information

-check also performance information for consistency with financial and management information

-identify problems, bottlenecks and possible solutions

(3) With the Programme Implementation Oversight Committee, report to the CCM-Z on the findings using the dashboard format.

(4) Ensure that PRs procurement plans are developed and approved by the Global Fund.

(5) Conduct scheduled site visits and confirm that programme activities are being implemented as planned.

(6) Assist the PRs to address any capacity concerns related to programme implementation (for instance mobilizing support and assistance to strengthen capacities, identifying technical support, etc).

Deliverables

(1) Dashboard file for each grant with comments and recommendations, each quarter.

(2) Minutes of each Committee meeting.

(3) Description in CCM minutes of presentation to CCM-Z of dashboard.

(4) Site visit reports (see form in Oversight Plan)

Reporting

The Committee will report to the CCM-Z every quarter, using the dashboard tool to present findings on financial, audit, and procurement performance. At least once a year, the Committee will summarize its reports for the CCM-Z. Additional presentations may be made on other matters as needed.

Annex 5 ToR: Programme Implementation Oversight Committee

Background

The Global Fund requires that Country Coordinating Mechanisms (CCMs) hold PRs accountable for resources given to the country. Similarly the Global Fund Grant Agreements require PRs to keep the Country Coordinating Mechanisms continuously informed about progress in implementation of the programme. Each PRs management should furnish the Country Coordinating Mechanisms with reports and information as will be reasonably requested.

To fulfill its oversight function, the Zambia CCM has delegated the oversight activities to two committees, which will review and report on findings for each grant to the full CCM-Z: (1)Finance, Audit & Procurement Committee and (2)Programme Implementation Committee. Together, the committees coordinated findings and reports will provide answers to the general key oversight questions which cover financial, management, and programmatic aspects of each grant:

Where is the money?





Responsibilities of Program Implementation Committee

The Programme Implementation Committee shall assist the CCM-Z in carrying out its oversight duties relating to programmatic implementation ensuring that activities are on course and that all implementing partners are meeting targets, goals, and objectives. The Committee will also look at financial information and management information to see that they are in harmony with the programmatic information. The Programme Implementation Committee will make recommendations to CCM-Z for its approval or decisions

Committee members must declare any conflict of interest that will or could arise in the course of undertaking their duties as members of the Committee. The declaration of interest must be made immediately as the situation arises. The member should recuse himself or herself from conflicted matters under discussion by leaving the room.

Member selection, terms of office, and election of Committee Chairperson and obtaining additional technical support are addressed in the Manual of Procedure.

Specific Activities of the Program Implementation Committee

(1) Ensure submission of the grant M&E plans and Performance Frameworks, and assist each PR to address any issues that may arise.

(2) Consider key evaluation studies whose findings relate to the Global Fund grants (national programme mid-term reviews, on-site data verifications feedback from LFA, etc).

(3) Review the Progress Update and Disbursement Request (PU/DR) submitted to the Local Fund Agent (LFA) of the Global Fund (due 45 days after end of reporting period)

(4) Review dashboards

-assess performance achievement on indicators against targets

- check also financial and management information for consistency with programmatic results

-identify problems, bottlenecks and possible solutions

(5) Investigate specific program issues that arise: obtain further clarification or explanation from PRs or from external technical experts, or conduct an issue-driven site visit.

(6) Highlight areas for documentation as best practices and lessons learned and recommend to other PRs for action.

(7) With the Finance, Audit & Procurement Committee, report to the CCM-Z on the findings using the dashboard format.

(8) Conduct scheduled site visits and confirm that programme activities are being implemented as planned.

(9) Assist the PRs to address any capacity concerns related to programme implementation (for instance mobilizing support and assistance to strengthen capacities, identifying technical support, etc)

Deliverables

(1) Dashboard files for each grant with comments and recommendations, each quarter.

(2) Minutes of each Committee meeting.

(3) Description in CCM minutes of presentation to CCM-Z of dashboard.

(4) Site visit reports (see forms in Oversight Plan)

Reporting

The Committee will report to the CCM-Z every quarter, using the dashboard tool to present findings on performance. At least once a year, the Committee will summarize its reports for the CCM-Z. Additional presentations may be made on other matters as needed.

Annex 6 Dashboard Activity Cycle

Dashboard Activity

Timeframe

Responsibility

1

Dashboard template from previous reporting period is customized for current reporting period and sent to PRs.

15th day of last month of quarter

CCM Secretariat

2

Formal reminder to the PRs to submit dashboards populated with their data

10th day of 2nd month after end of each quarter

Secretariat

3

PU/DR sent to LFA

15th day of 2nd month after end of reporting period

Principal Recipient (PR)

4

Dashboards populated by PR and sent to CCM Secretariat

5 working days after 15th of 2nd month after end of each quarter

= 7 working days before qtrly meeting

PR

5

Review of data received from the PR for accuracy and completeness; request for clarifications by PR, if needed

6 working days before quarterly CCM meeting

CCM Secretariat

6

Dashboards circulated to Oversight Committees

5 or more working days before qtrly CCM meeting

CCM Secretariat

7a

Meetings of Oversight Committees:

review of dashboard report by oversight committees

3 or more working days before quarterly CCM meeting

Chairs of Oversight Committees

7b

PR is available by phone to respond to questions from the Oversight Committees


Principal Recipient

7c

Revision of dashboard report to include comments and recommendations of Oversight Committees

1 day post Oversight committee meeting

= 2 or more days before CCM meeting

CCM Secretariat

8

Circulation of dashboard report to CCM members in preparation for CCM meeting


CCM Secretariat on behalf of Oversight Committee Chair

9

CCM Meeting: review by full CCM of dashboard reports; decisions taken on actions needed

During CCM meeting

CCM Chair

10

Decisions made by full CCM are recorded in dashboard

During CCM meeting.

CCM Secretariat

11

Dashboard is archived.

CCM Secretariat

12

Full CCM Dashboard decisions and appropriate comments are shared with PRs

CCM Secretariat

Oversight Plan, 201020 October 2011p. 18 of 36

Annex 7 Framework of CCM-Z Oversight Activities and Frequency

Frequency

Oversight Activities

Key Actors

Annual

Quarterly

PU/DR Cycle

Other Routine

As Needed

Budget

1.0

Clarify oversight functions, responsibilities, and build capacity for oversight

1.1 Develop an annual Oversight Work Plan

Secretariat

X

0

1.2 Develop an annual Oversight Budget

Sec

X

0

1.3 Identify technical experts to assist Oversight Committees

Sec

X

0

1.4 Provide induction, orientation, training and site visits to build capacity for members of Oversight Committees

Sec

X

yes

2.0

Gather information on Global Fund grants through use of routine reports or available data

2.1 Arrange for PRs to present progress on each grant to oversight Committees:

Osight Cttees

X

0

2.2 Receive, review copy of dashboards, PU/DRs and annual reports prepared for Global Fund or the Local Fund Agent (LFA) by PRs (print copies of PU/DR for all members; print executive summary only of annual report for all members, complete report for members of Oversight Committees)

Osight Cttees

X

dashboard

X

yes, photocopy (color for dashboard)

2.3 Monitor and review grant performance reports on Global Fund website for comments by Local Fund Agent or Global Fund on grant performance

Sec

X

0

3.0

Gather information on Global Fund grants through site visits & PR-SR performance review meetings

3.1 Develop objectives; design questionnaire & mini-report form for site visits

Sec

Every 2 yrs

0

3. 2 Develop calendar of orientation visits and PR-SR meeting visits

Sec

X

0

3.3 Present methodology, calendar, and proposed list of sites and visitors for validation by CCM

Osight Cttees

X

0

3.4 Organise logistics of site visits, at request of Oversight Committees

Sec,

PR

X

X

0

3.5 Visit sites and attend PR-SR status and performance review meetings according to calendar

Osight Cttees

X

X

yes

3.6 Prepare and present report on visits, and refer issues for follow up to CCM

Osight Cttees

X

X

0

4.0

Gather information on Global Fund grants through investigation of specific issues

4.1 Invite PR or SR representatives to meetings of Oversight Committees to answer questions or make oral presentations about grant progress or issues, problems, bottlenecks

Osight Cttees

X

0

4.2 Use a technical expert to investigate a problem or perceived bottleneck and report back to the Oversight Committees.

Osight Cttees

X

0

4.3 Request a presentation by a technical expert or national programme manager comparing national statistics to Global Fund grant results (Note: this includes presentations on research studies.)

Osight Cttees

X

0

4.4 Call together or arrange to visit officials from ministries, agencies, local government authorities or partners involved in issues, bottlenecks, problems

Osight Cttees, Chair

X

0

4.5 Identify and actively monitor issues or problems raised by the LFA during their on-site data verification

Osight Cttees

X

0

4.6 Conduct issue-specific site visit if needed

Osight Cttees

X

yes

5.0

Analyse information to identify problems and bottlenecks requiring CCM attention

5.1 Analyse each grants PU/DR, dashboard, and related information

Osight Cttees

X

0

5.2 If the PU/DR, dashboard, or other information indicates poor performance or specific problems, use step 4.4 to learn more if possible

Osight Cttees

X

0

5.3 Determine the type of problem, issue or bottleneck causing poor performance and the institutions involved

Osight Cttees

X

0

5.4 Identify the efforts made by the PR to date to resolve the problem

Osight Cttees

X

0

5.5 Report to the CCM using the quarterly dashboard for each grant

Osight Cttees

X

0

5.6 During CCM meetings, explain any issues, problems, bottlenecks that may have been identified and which require CCM attention [dashboard as reporting tool]

Osight Cttees

X

X

0

6.0

Take action to resolve problems and bottlenecks requiring CCM attention

6.1 In the case of urgent problems, call for an Extraordinary CCM meeting

CCM

X

yes

6.2 Develop options and/or a recommendation to the CCM on action to be taken to resolve the problem or bottleneck, depending on its type and extent [to be recorded in dashboard]

Osight Cttees

X

X

0

6.3 The CCM will discuss the problem and potential solutions and will decide on the action to be taken [to be recorded in dashboard]

CCM

X

X

0

6.4 The CCM will delegate to the Oversight Committees authority or shall identify other CCM members to pursue a solution [to be recorded in dashboard]

CCM

X

0

6.5 The CCM may request additional investigations of problems and may mobilize additional support

CCM

X

0

7.0

Report

7.1 Review & report on the status of the problem as old business at the subsequent CCM meeting [using dashboard Actions Page]

Osight Cttees

X

0

Oversight Plan 20 October 2011p. 32 of 36

Oversight Plan 20 October 2011p. 36 of 36

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