Some Practices of LFA Communications with CCM and Partner Agencies in China

1. Some Practices of LFA Communications with CCM and Partner Agencies in China By Lingfeng Xu UNOPS Beijing Implementation Facility GF EAP Regional Meeting Bali, Indonesia 3-5 September 2007

2. Principles of LFA Communications with CCM and Partner Agencies Purpose: • Ensuring accountability and effectiveness of GF grants through effective communications between LFA, PR, CCM and other in-country stakeholders. • Ensuring LFA to effectively perform its functions in assessing grant recipients, verifying programmatic and financial deliverables of the grants and providing recommendations to GF

3. Principles of LFA Communications with CCM and Partner Agencies General Principles: • Share with and obtain useful information from PR, CCM and other in-country stakeholders. • Explain well to the relevant parties on LFA’s roles and responsibilities for a clear understanding of scope/limits of LFA functions and work. • Provide independent and objective advice to the Global Fund. • Maintain independence on fiduciary obligations to the Global Fund. • Share findings with CCM and Partner Agencies, but channel any conclusions/recommendations through FPM of GF. • Communicate in a frank, open, respectful and diplomatic manner. • Demonstrate a good understanding of public health, program and finance management. • Comply with confidentiality provisions in the Framework Contracts.

4. Current Practices in Relation to LFA Communication with CCM 1. Attendance of CCM Meetings • TOR of China CCM stipulates that CCM Secretariat is responsible for liaising and sharing information with LFA, PR and GF. The AIDS, TB and Malaria Working Groups (WGs) should invite the LFA to attend relevant parts of their meetings. • LFA is on China CCM and WGs invitation lists. • Attends CCM Plenary Meetings (meets twice a year or more) • Attends China CCM AIDS, TB and Malaria Working Groups Meetings (meet from time to time when necessary)

5. Current Practices in Relation to LFA Communication with CCM (Cont.) 2. Role of LFA in CCM Meetings • observer (China CCM has 22 members without LFA) • Information sharing • To clarify relevant GF written recommendations/decisions if required • To convey messages from GF if any upon GF request • To explain LFA roles and responsibilities for a clear understanding of the scope and limits of the LFA functions and work • Does not participate in decision-making or voting process • Does not speak in the name of GF or purport to represent the views of the GF. • LFA makes a brief report to FPM on important topics discussed and decisions made after each meeting.

6. Current Practices in Relation to LFA Communication with CCM (Cont.) 3. Nature of the Relations between LFA and CCM

7. 1. Working relations 2. CCM submits requests to GF 3. GF makes decision on CCM requests • GF-LFA fiduciary arrangements • LFA provides independent and objective advice and recommendations to GF • 3. GF requests LFA to conduct functional activities • GF signs grant agreement with PR • PR implements grants • PR reports progress & requests for disbursements • 3. GF makes final decisions/approval on • PR requests/proposals GF 1. LFA and CCM share information/findings 2. LFA witnesses and verifies actions taken by CCM 3. LFA conducts initial reviews on CCM requests upon GF request CCM 1. LFA assesses PR capacity on GF behalf 2. LFA monitors grant performance on GF behalf and conducts various verifications 3. PR sends PU/DRs to GF through LFA for initial review 4. LFA-PR working relations LFA 1. CCM nominates PR 2. CCM guides, assists and monitors PR 3. PR reports to CCM and submits plans and proposals for CCM endorsement PR

8. Current Practices in Relation to LFA Communication with Other Partners 1. LFA PR Assessment/PR (Repeat) Assessment • LFA makes announcement of PR assessment exercises at WG meetings • Pre-arrange programme which includes both briefing and debriefing sessions with the PR where MOH representatives are present. • During the mission, LFA meets some selected CCM members from different categories (including WHO, UNAIDS, NGO/CBO) to solicit their views, comments and recommendations on capacity of the nominated PR(s), performance of the existing grants, and challenges of new grants, so as to ensure their advice to the GF is taken into consideration. • Share mission findings with PR, MOH and relevant Working Groups (Chair and/or Vice Chair of WG). • However, LFA recommendations are submitted to GF for further review/decision and communication with PR. • LFA verifies actions taken by PR on recommendations made.

9. Current Practices in Relation to LFA Communication with Other Partners (Cont.) 2. During program implementation • Share key findings of various reviews on 2-year work plan, PSM plan, M&E plan, Phase 2 work plan, PU/DRs, proposed budget or program adjustment plans, annual reports and external audit reports, as well as findings from data verification exercises and financial spot checks, with the PR and other parities concerned. However, any recommendations are channeled through GF. • Conduct LFA field data verification and financial spot checks in the presence of PR or SR staff to ensure acceptance of results. • Participate in joint monitoring missions at national level, annual program review meetings and program launching meetings/ activities, so that LFA will have some good chances to meet donor and CCM/WG representatives, share findings and views/information on program performance each other and join in debriefing with senior officials of MOH. • Share findings with MOH/WHO/UNAIDS and other partner agencies regularly whenever opportunities arise.

10. Current Practices in Relation to LFA Communication with Other Partners (Cont.) 3. During FPM’s country visits • LFA assists in making necessary meeting appointments for the FPM’s country visits (govt., multi-lateral, bilateral, NGO/CBOs and PLWATMs) • LFA accompanies the FPM to attend relevant meetings/ discussions. • LFA accompanies the FPM at CCM WG or sector group meetings (FPM may need to answer some questions/inquiries). 4. Routine work • LFA is invited to attend the UN theme group meetings, and is therefore well informed of the latest developments. • Receive regular information from China AIDS Information Network (CHAIN), NGO Network Forum and various newsletters. • LFA actively seek information from in-country stakeholders including CCM members and partner agencies

11. The “ideal” practice • Attending CCM Meetings: • LFA should be invited to attend CCM and WG meetings as observers. • LFA should make a brief report to FPM after each meeting. 2. Constant sharing of information/findings with CCM and Partner Agencies: • LFA should regularly share with and obtain information from PRs, CCMs and other in-country stakeholders • LFA should have a regular semi-annual meeting each with WHO and UNAIDS soon after completion of semi-annual PU/DRs to share its findings and GF recommendations with them. (Such mechanism has not been established yet.)

12. The “ideal” practice (cont.) 2. Constant sharing of information/findings with CCM and Partner Agencies (cont.): • PR should make copies of semi-annual PU/DRs to CCM Working Groups for review and comments if any. • GF should perhaps share the review/evaluation comments on the PU/DR with CCM WG Chair. • LFA should participate in Common Funding Mechanisms (CFMS) meetings as observers and report to FPM on any relevant developments and/or decisions taken. • LFA needs to use its ears, nose and eyes to actively seek information from in-country stakeholders including CCM members and partner agencies on various occasions including PR assessment missions, Phase 2 review, FPM’s country visits, monitoring missions, meetings, internets and routinely. • Parties concerned should be ensured with clear understanding of LFA roles and responsibilities.

13. The “ideal” practice (cont.) 3. LFA to channel conclusions/recommendations through FPM: • LFA submits independent and objective advice and recommendations to GF for further review and decisions • GF consolidates recommendations and address them to the parties concerned. • LFA verifies the adoption of the recommendations. 4. LFA should communicate in a frank, open, respectful and diplomatic manner 5. LFA should refer any requests made by the CCM with regard to sharing assessment and review recommendations and updates on grant implementation to the PR and FPM

14. Thank you!  遏制艾滋 履行承诺 Control AIDS, Fulfil Committments