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Action Alert Supporting civil society engagement in the Global Fund ROUND 11 CALL FOR PROPOSALS

Action Alert

Supporting civil society engagement in the Global Fund



August 2011

This CSAT Action Alert provides information and practical guidance for civil

s ociety organizations on opportunities for the Round 11 Call for Propos als

b y th e Glo b a l Fu n d to Fig h t AIDS , Tu b e rc u lo s is a n d Ma la ria (th e Glo b a l


On 15 th August 2011 the Global Fund to fight AIDS, Tuberculosis and Malaria launched its 11 th call for proposals. As with previous rounds, there are a number of changes to the application process and the eligibility criteria for countries wishing to apply. There are also a number of important lessons and opportunities that civil society organizations can take into account as they get involved in Round 11 proposal development.


• The call for proposals for Round 10 was launched August 15, 2011

• The deadline for submission of funding proposals is December 15, 2011

• Funding decisions will be made at a Meeting of the Global Fund Board to be held in May



The Global Fund has made a number of important changes to the criteria and eligibility requirements for applicants and to the proposal development process itself, which will be applicable from Round 11 onwards. The key points are as follows (click on the hyperlinks in the text for further information).

Changes to CCM/RCM minimum requirements

CCMs (country coordinating mechanisms), alongside RCMs (regional coordinating mechanisms) are the basis for most funding applications to the Global Fund and have a role in overseeing grant implementation. At its 23 rd Board Meeting in May 2011 the Global Fund issued new guidelines for CCMs and RCMs. These changes are important since the CCM model is one of the main ways the Global Fund ensures that civil society organizations and key populations are engaged in proposal development and

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implementation. The changes to the requirements mean that many CCMs will have to reform or develop new policies before submitting Round 11 proposals.

The key changes to the CCM requirements are as follows:

CCMs must now clearly document how they engage key populations, including most at risk populations, in the development of funding applications.

CCMs must document a transparent process for the nomination of grant principal recipients (PRs) based on clear, objective criteria and document how they manage any conflicts of interest that affect PR nomination.

Increasing emphasis is placed on the need for the CCM to have a detailed oversight plan, with particular attention paid to engaging non government constituencies and people affected by the diseases in oversight of grants.

CCMs should include representation of people living with HIV, TB and malaria; in the case of TB and malaria this can mean people who lived with the diseases in the past or who come from communities where the diseases are endemic.

Development and application of stronger policies to manage conflicts of interest applying to all CCM members and all CCM functions, and most notably in relation to decision making with respect to PR and SR roles.

In addition, the new guidelines now include standards and recommendations. CCMs that do not fulfill all of the six requirements will not be eligible for funding; in addition the Global Fund strongly recommends that CCMs adopt the standards and implement the recommendations.

A number of relevant documents are available on the Global Fund website:

Guidelines and requirements for Country Coordinating Mechanisms nes_en/

Guidance note on CCM requirements e_Note_en/

Notice to Round 11 applicants on CCM eligibility (this notice clearly describes the changes to the CCM requirements)


Additional information on CCMs, including on the procedures the Global Fund uses for assessing that requirements have been fulfilled, are available on the Global Fund’s CCM webpage:

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Cross-cutting Health Systems Strengthening

In Round 11 the Global Fund will accept applications for Cross-cutting Health Systems Strengthening (HSS) funding. These applications will be possible using the common HSS proposal form jointly developed by the Global Fund and GAVI.

This funding component may be highly relevant to civil society organizations since the Global Fund has accepted that Community Systems Strengthening (CSS) initiatives can be supported as part of HSS. A detailed information note explains this new funding opportunity:

General and Targeted funding pools

For Round 11 the Global Fund is making available a General and a Targeted Funding Pool. For each disease component, applicants must choose which Pool to apply under, since only one application can be made per country for each disease component.

General Funding Pool.

The General Funding Pool represents 90% of the available funds for Round 11. There are no restrictions to the amount of funding that can be requested under the General Funding Pool. However there are some restrictions in terms of which countries can apply, and in terms of the level of focus on “specific populations and interventions”. These restrictions are explained in more detail below.

Targeted Funding Pool. The Targeted Funding Pool represents 10% of the available funds for Round 11. All applications to the Targeted Funding Pool must be fully focused on “specific populations and interventions”. Applications to the Targeted Funding Pool are limited in terms of the level of funding: a maximum of $5m for the first two years of funding and $12.5m over the life of a five year grant can be requested. Some countries may only apply to the Targeted Funding Pool. Cross-cutting Health Systems Strengthening applications may not be submitted to the Targeted Funding Pool.

Specific populations and interventions”. As noted above, certain applications are required to focus on Specific populations

and interventions.

risk populations” (which CSAT more commonly refers to as Key Populations). Specific interventions are defined as “highest impact interventions within a given

epidemiological context”. Readers are referred to the following excerpt and to the relevant policy for more information:

Specific populations are defined as “underserved and most-at-

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Subpopulations, within a defined and recognized epidemiological context:

1) That have significantly higher levels of risk, mortality and/or morbidity; 2) Whose access to or uptake of relevant services is significantly lower than the rest of the population.

Evidence-based interventions that:

1) Address emerging threats to the broader disease response; and/or 2) Lift barriers to the broader disease response and/or create conditions for improved service delivery; and/or 3) Enable roll-out of new technologies that represent global best practice; AND 4) Are not funded adequately

Annex B, policy on eligibility, counterpart financing requirements, and prioritization of funding:


Changes to other eligibility criteria

At the May 2011 Board meeting the Global Fund also adopted a new policy on eligibility, counterpart financing requirements, and prioritization of funding.

The new eligibility criteria define which countries can apply for which types of funding. The criteria are based on the income level, the disease burden, and the history of recent funding of the applicant country. The changes are important for civil society organizations since, by and large, they support an increased focus on specific populations and interventions.

Recent Funding

The recent funding criterion applies to all applicants. According to this criterion, no country can apply for a disease program if it already has a recent Global Fund grant for that disease that began implementation within a year of the Round 11 deadline (15 December 2011). Some countries may qualify for an exemption from this criterion, but the deadline for applying for an exemption has already passed. This was explained in the previous CSAT Alert:

Income level

- Lower income countries (LICs) can apply to the General Funding Pool without any further restriction, and they can apply to the Targeted funding pool on the

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condition that the application focuses in its entirety on “specific populations and interventions” (see point 3 above on Funding Pools).

- Lower Middle Income Countries (LMICs) can apply to the General Funding Pool, but if they do so, 50% of the application must focus on “specific populations and interventions”.

- Upper Middle Income Countries (UMICs) can apply to the General Funding Pool, but only if the disease burden is classified as Severe/Extreme, or High. If the disease burden is classified as Severe/Extreme they can apply either to the General or the Targeted Funding Pool, but in either case the entire application must focus on specific populations and interventions. If the disease burden is classified as High, they may only apply to the Targeted Funding Pool, and the entire application must focus on specific populations and interventions.

- UMICs with Severe/Extreme disease burdens are eligible to apply for cross- cutting HSS funding from the General Funding Pool.

- Some exceptions exist for UMICs classified as small island nations; readers are referred to the Global Fund policy.

- In addition, UMIC countries which do not appear on the OECD-DAC list of Overseas Development Assistance recipients can only apply through NGOs (governments may not receive any funding).

- High Income countries may not submit single country applications, but may be eligible to apply as part of multi-country applications.

- Countries moving up from one income country to the next in the past year may still be able to apply under their previous classification.

The Global Fund has published a table indicating the eligibility situation for each disease component in every country, including which Funding Pools the country can submit to and under what conditions:

However, the Global Fund has stated that this table is indicative and that countries should refer to the policy when assessing their eligibility:


The Global Fund has also published an information note on eligibility, counterpart financing and prioritization:

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Counterpart financing and prioritization

New information is available on counterpart financing and prioritization policies.

Counterpart financing With some exceptions, applicants are required to provide counterpart financing. For LICs the level of counterpart financing is 5%, for Lower LMICs 20%, for upper LMICs 40% and for UMICs 60%. In addition UMICs are expected to move toward 90% counterpart financing by the end of the grant. In addition all countries are expected to gradually increase the national contribution. The Global Fund will provide support to countries to improve their data on expenditure in order to be able to better report on counterpart funding. The requirement on counterpart financing is important since it is crucial that national partners are able to commit to such financing before deciding to submit an application. More information is available in Part 4 of the Global Fund policy on eligibility, counterpart financing requirements, and prioritization of funding:


And the counterpart financing section of the Round 11 website:

Prioritization The Global Fund has introduced prioritization criteria to enable the Board to decide the order in which to fund proposals, in the event that the value of proposals approved is higher than the amount of funds available. Proposals will be scored based on a quality score provided by the Technical Review Panel, and a disease burden and income level score. More information is available in Part 5 of the Global Fund policy on eligibility, counterpart financing requirements, and prioritization of funding:


And the prioritization section of the Round 11 website:

Changes to the application form

The Global Fund Secretariat has simplified the application form for Round 11, in particular by reducing the amount of information requested of applicants.

The changes that are most important in terms of how civil society organizations get involved in Round 11, are the following:

- Proposals need to be “consolidated” with existing grants for the same disease component. This is important because it provides an opportunity to review the

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content of current grants and their implementation arrangements and so can mean making changes to the types of interventions that are prioritized and to the roles of PRs in grants that are already being implemented.

- The provision of “Applicant Disease Profiles” for each eligible country, which will make it easier for CCMs and other stakeholders to know what types of program the Global Fund can support and what conditions Applicants need to fulfill. (

- Applicants will need to clearly explain the division of responsibilities between Principal Recipients (PRs), notably in the performance framework, budgets and workplans. This is important because in previous years, applications have not always made clear exactly what each PR will do, and PRs have not always known what they have committed to doing. Applicants will also need to make sure the application is endorsed by the proposed PRs, which will help ensure that both governmental and nongovernmental PRs are involved in the proposal development from an early stage.

The changes to the proposal form are discussed in more detail on the Global Fund’s website: and the application guidelines for Round 11 are available here:

( [NB only guidelines for single country applicants are available as at 4 August 2011, but the site will be updated progressively]

Multi-country and non-CCM applications

As in previous rounds the Global Fund will also accept, under some circumstances, Multi- country and non-CCM applications. Multi-country applications require the approval of CCMs from all of the countries they cover, and must adhere to other rules. Non-CCM applications are only accepted under exceptional circumstances. More information is available on the Global Fund website:

Multi-country applications:

Non-CCM applications:

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1. Review this CSAT Action Alert and share with your colleagues. The Alert is available in English, with French, Spanish and Russian to follow.

2. Find out more about the Global Fund and Round 11. See the list of resources at the end of each section, and in particular:

i. All application documents related to the Round 11 Call for Proposals can be found at

ii. The Round 11 Frequently Asked Questions are available at

iii. Read the information notes on specific technical and organizational aspects of the application process, and which include reviews of strengths and weaknesses of previous applications:

3. Learn about your Country Coordinating Mechanism (CCM). It should be fairly simple to identify members - you can find much of this information on the Global Fund website. There are a few important questions to find answers to:

i. What proportion of the CCM is made up of civil society organizations? Do these members include people representing key affected populations, including people living with the diseases?

ii. What programs, if any, are Global Fund grants currently supporting in your country or region?

iii. Are any NGOs currently acting as Principal Recipients for Global Fund grants in your country or region?

4. Discuss with the CCM the process of gap/needs assessment and related strategic decisions to prepare a Proposal for Round 11. Contact the CCM Secretariat, Chair or civil society representatives. There are a number of key questions you may want to ask:

i. Is the CCM planning to develop and submit a proposal for HIV for Round 11? Has the proposal development process begun?

ii. What opportunities are there for civil society organizations (CSOs) to get involved, both in proposal development and grant implementation? Do these opportunities fit with the expectations of CSOs and of the Global Fund ? To be eligible for Global Fund funding, CCMs should ensure the proposal development process is open and transparent and ensures the input of a broad range of stakeholders.

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How do the eligibility criteria fit with your country?


Does your CCM comply with the updated CCM requirements?


Is your country eligible to apply under Round 11? If it is ineligible due to recent funding, was an exemption applied for and granted?


Do the eligibility criteria have any other influence on the content of an application from your country - for instance, are you required to submit an application under the Targeted Funding Pool, and is there a requirement for a focus on specific populations and interventions?


Are the authorities and other partners in your country prepared to commit to the required level of counterpart funding?

iv. Has the CCM decided in relation to how it will integrate Community System Strengthening (CSS), and/or whether it will opt for Dual Track Financing (DTF), and whether it will opt for the General or the Targeted Funding Pool? Has the CCM discussed how it will ensure that the proposal responds to the Global Fund strategies on gender, and on sexual orientation and gender identity? What are these decisions?

5. Consult within the civil society sector. Those individuals or organizations who are most aware of the CCM's plans should share this information with the broader civil society sector, and discuss what the next steps should be. The following questions may help to frame discussions:

i. Does the composition of the CCM reflect the Global Fund requirements and recommendations?

ii. Do the CCM’s plans for Round 11 ensure the participation of civil society in the proposal development process, and in the implementation of the project, as per Global Fund requirements? Have the needs of key affected populations (for example, sexual minorities), and recommendations around Dual Track Financing (DTF) and Community Systems Strengthening (CSS) been taken into consideration? Have other Round 11 requirements in relation to focus of the application and counterpart funding been taken into consideration? If not, why not? (see below for definitions and explanations of these items.)

6. Once these questions have been discussed, the civil society sector should agree on next steps. If the CCM is in favor of enhancing civil society’s role in the Round 11 proposal, it will be important to agree on how civil society can effectively participate in the proposal development process and to ensure that civil society organizations with adequate capacity are selected as potential PRs. If, however,

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the current plans will not adequately allow for an enhanced civil society role, the sector should plan to influence the CCMs decision.

7. Mobilize your civil society colleagues and partner organizations to advocate for greater attention to civil society contribution and participation. In some countries, the decision may be to focus on demanding and ensuring meaningful civil society participation on CCMs. In others, the emphasis may be on ensuring that the proposal adheres to all the recommendations and guidelines of the Global Fund, particularly in relation to SOGI and Gender Strategies, CSS, DTF, etc. It may also be necessary to advocate for a more open and transparent proposal development process, as this is a Global Fund requirement. Contact UNAIDS and UNDP country offices, as well as other international partners who are supportive of civil society involvement, for support in advocating for civil society involvement in all these areas. Also contact the regional hubs of CSAT for guidance on how to engage with the CCM and the Global Fund Secretariat. (See the contact details below.)

8. Get involved in the process to develop the Round 11 proposal. Non-government sector representatives on the CCMs should ensure that the broader civil society sector is meaningfully involved in the proposal development process. This means that the CCM – or the CSO representatives on the CCM - should arrange consultations with the broader civil society sector in order to get input into the proposal. Particular attention needs to be paid to ensuring that marginalized groups (such as key affected populations and sexual minorities) are able to participate in this process. The process for proposal development is different in every country, but you may want to advocate for the inclusion of these key areas:

i. The proposal should prioritize actions and population groups neglected (“Know your Epidemic”) in the current response to HIV and AIDS. CSOs working at the community level are often very well placed to identify such gaps.

ii. Civil society organizations should help identify who would be the most effective organization to become Principal Recipient (PR). This could be a government institution and/or a civil society organization, as the Dual-Track Financing policy of the Global Fund allows.

iii. Community Systems Strengthening (CSS), is about ensuring that CSOs have the capacity and support required to play a full and effective role in national responses to HIV, TB and malaria.

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CSAT global host: ICASO International Secretariat, Canada. Coordinator: Kataisee Richardson |

Host organizations of regional hubs and coordinator contact information are:

Middle East and North Africa: Association de lutte contre le sida (ALCS), Morocco Coordinator: Nadia Rafif |

Sub-Saharan Africa: African Council of AIDS Service Organizations (AfriCASO), Senegal Coordinator: Kibibi M. Thomas Mbwavi | Sub-hubs in the region:

The East African National Networks of AIDS Service Organizations (EANNASO), Tanzania Coordinator: Olive Mumba | Southern African AIDS Trust (SAT), South Africa Coordinator: Tinashe Chimbidzikai |

Eastern Europe and Central Asia: Eurasian Harm Reduction Network (EHRN), Lithuania Coordinator: Ivan Varentsov |

Asia Pacific: Asia-Pacific Network for People Living with HIV/AIDS (APN+)/7 Sisters, Thailand Coordinator: Vince Crisostomo |

Caribbean: Caribbean Vulnerable Communities (CVC), Jamaica Coordinator: Ian McKnight |

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