national strategy applications and health systems funding platform joint assessment and...

National Strategy Applications and Health Systems Funding Platform

Joint Assessment and Multi-Stakeholder Involvement

Regional Workshop for Civil Society14 October 2010

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Context

Growing complexity of global health aid architecture

Paris Principles (2005) & Accra Agenda for Action (2008)

Creation and growth of Global Fund

Global Fund initiatives to simplify and streamline

fundingInternational Health Partnership (IHP)

New grant architecture

Joint Assessment of National Strategies (JANS) NSAs

HSFP

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Joint Assessment

National Strategy Applications

Health Systems Funding Platform

Multi-stakeholder involvment

Session Overview

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Background

International Health Partnership (IHP), Joint Assessment of National Strategies (JANS)

– Principles for joint assessment

– Attributes of sound national strategies (JANS Tool)

Definition

Joint assessment is a process by which country stakeholders and international partners come together to carry out an independent assessment of a national strategy and its accompanying documentation. It is based on JANS principles and tool.

Scope

Can be applied to national health sector strategies or sub-sector strategies (e.g. disease strategies).

Purpose

1. provide countries with constructive feedback on the national strategy documentation; and 2. provide international agencies with relevant information to help them make technical support and/or funding decisions.

What is joint assessment?

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IHP JANS Principles including the following: – country-demand driven and country-led; – building as appropriate on existing in-country processes and

experience – strong independent element; – inclusive process, involving civil society and other stakeholders;

Joint Assessment

JANS principles

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Civil society consultation on Global Fund initiatives

JANS Tool/AttributesCommonly agreed basis for assessing technical soundness of national strategies

Category Focus of attributes (for full language see IHP website)

1. Situation Analysis and Programming

•Sound situational and response analysis•Clearly defined priority areas, objectives and interventions, contributing to improved health outcomes•Planned interventions, cost effectiveness, sustainability•Risk assesment and mitigation strategies

2. Process •Multi-stakeholder involvement in development and endorsement of national strategy documentation•Consistency with higher and lower level strategies

3. Finance and Auditing •Comprehensive budget/costing, financial gap analysis•Specification of allocation of funds•Financial management system

4. Implementation and Management

•Operational plans, resource deployment•Procurement policy•Governance, management and coordination framework

5. Results, Monitoring and Review

•Monitoring and evaluation•Joint periodic performance reviews

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Multi-stakeholder1 involvement in development of national strategy (which is led by government, with a transparent consultative/participative process) and multi-stakeholder1 final endorsement of national strategy.

1: Including government, civil society (according to the UN definition) and the private sector

Joint Assessment

Attribute related to MSI

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Joint Assessment

JANS Principles and Tool

JANS applied so far in two different areas, using same principles and tool:

IHP-led joint assessment of national health sector

strategies

3-4 countries in 2010 so far. Process ongoing.

Feeding (in some cases) into donor funding

decisions.

Global Fund-led assessments of national

disease strategies

7 assessments in First Learning Wave of NSAs

in 2009

5 NSA grants approved November 2009

Some differences in emphasis and details of process

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Joint Assessment




Session Overview

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Application (“NSA”)

Countries

National strategy

documentation*

Joint assessment report

“National strategy application” to Global Fund(= jointly assessed national strategy

+ minimal additional information)

Grant management

Funding decision-making process for other funder(s)

* National strategy documentation = national strategy + complementary documents (e.g., operational plan)


NSA concept

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Puts focus on development, financing and implementation of robust national disease strategies aimed at improving health outcomes and

supports Paris aid effectiveness principles and Accra Agenda for Action

Anticipated benefits:

• Alignment with country priorities, national programmatic and budgetary timeframes;

• Reduced transaction costs and paperwork for countries;

• Improved harmonization with other donors;

• Opportunity to extend multi-stakeholder inclusion to the scope of the national strategy;

• A focus on managing for results and accountability within national disease strategies;

• Improved quality and credibility of national strategic frameworks


Anticipated benefits of NSA approach

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Unique characteristics:

• Compressed timeline (to be ready in same timeframe as R9 proposals)

• Limited number of countries (22 countries invited)

• Review of national disease strategies by TRP only (exceptional since no joint mechanism in place)

5 NSAs approved in November 2009

At the end of 2008, Global Fund Board decided to launch a phased roll-out of NSAs, beginning with a “First Learning Wave” of NSAs in 2009, with

aim to draw lessons to inform the future, broader roll-out of NSAs

National Strategy Applications First Learning Wave of NSAs

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Conducted by Scope

TRP All NSA countries

UNAIDS- commissioned consultants

The 3 countries that submitted NSA for HIV

McKinsey, commissioned by GF

12 countries, spanning all three diseases and different FLW outcomes


Reports on FLW & message on value of NSA approach

All 3 reports indicate perceptions of value of NSA approach from both country- and global-level stakeholders to be

broadly positive

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In April 2010, Global Fund Board approved the initiation of a Second Wave of NSAs, drawing on the lessons from the First Learning Wave, with the following

characteristics:

• Timing– allow countries more time for key process steps– have NSA funding decisions at end of 2011

• Approach to country participation– include a limited but incrementally larger number of countries than the First

Learning Wave – move towards longer-term vision of open “self-selection” process

• National strategy assessment– move towards a credible, joint assessment approach

• Multi-stakeholder involvement

– strengthen approach used in First Learning Wave

+ also ensure consistency with new Global Fund grant architecture


Second Wave of NSAs

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The long-term vision of the joint assessment in the NSA approach is to move towards a truly ‘joint’ process. This is currently in evolution:

First Learning Wave: GF-driven, GF-organised, TRP conductedPurpose: learn about assessment of national disease strategies and link with GF NSA

funding application

Second Wave: GF/donor-driven, jointly-organised, jointly conductedPurpose: learn how to do a country-driven

joint assessment of a national disease strategy that can form the basis of funding/support decisions of international agencies

Intended future model: country-driven, jointly organised, jointly conductedPurpose: enable countries to conduct joint assessment at time that bests suits their national calendar, and use it as basis of funding/support requests as these arise.

Second Wave of NSAs

Joint assessment for Second Wave of NSAs

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Will follow JANS Principles and use JANS Tool.

In addition, joint assessment of national disease strategies needs to be sufficiently reliable to allow the Global Fund and other donors to use its outcome as the basis of their technical support and/or funding decisions.

Hence, some key requirements (agreed by Multi-Partner Working Group), including:

• All joint assessment team members independent (no involvement in drafting the national strategy and no conflict of interest with regards to assessment outcome); ‘national facilitators’ possible in addition;

• Assessment team leader external to country;• A few experts nominated and paid for by donors included in team;• At least one member with expertise in multi-stakeholder involvement;• Agenda developed consultatively;• Assessment report to present strengths and weaknesses of national strategy.

Second Wave of NSAs

Joint assessment approach

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Key steps

1. Nominate a joint assessment organizing body;2. Identify a joint assessment team leader and assessment dates;3. Prepare the joint assessment (define scope and focus; identify other

assessment team members; prepare agenda);4. Provide an update on joint assessment preparations;5. Conduct the in-country joint assessment.

Second Wave of NSAs

Joint assessment process

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Joint Assessment




Session Overview

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• Health Systems Funding Platform (the Platform) is a joint partner initiative of the GAVI Alliance (GAVI), the Global Fund and the World Bank, with facilitation from the World Health Organization (WHO)

• Goes back to a letter from the Global Fund ED and the GAVI CEO in March 2009 to the co-Chairs of the High Level Taskforce on Innovative Financing for Health Systems proposing collaboration on HSS funding

• High Level Taskforce welcomed proposal and recommended Platform as a mechanism to “…coordinate, mobilize, streamline and channel the flow of existing and new international resources to support national health strategies.”

• Aim is to make better use of new and existing funds for health systems strengthening (HSS) through simplification of countries’ access to HSS sup-port, and through harmonization and alignment of the way this support is provided

• Principles of the Platform are in line with those of the Paris Declaration, the Accra Agenda for Action on Aid Effectiveness and the International Health Partnership (IHP+) .

Health Systems Funding Platform (HSFP)

Background

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1

2

3

Aligning partner support to national plans and strategies, through an inclusive process

Reduced transaction costs (for both funders and implementers)

Coordinated funding for HSS

Improvement of Aid

Effectiveness(Paris and Accra

Principles)


Anticipated benefits• Greater Value for Money• Improved outcomes for the three

diseases and immunization• Contributing to MDGs 4, 5 & 6

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Global Fund Board Decision from April 2010:

• Continue rapid implementation of Track 1

• Development of joint proposal form for HSS with GAVI (for Round 11)

• Design pilot for 4-5 countries to submit funding requests based on jointly assessed national health strategies (parallel to Round 11)

• Scope of GF HSS support to be maintained for the purposes of the Platform

Health Systems Funding Platform (HSFP)Platform applies to existing and new HSS funding

Track 1 “Existing financing”

Track 2 “Newfinancing”

Harmonization1 of existing HSS grants/credits

Grant/credit management1

Opt

1O

pt 2

1 Harmonized monitoring & evaluation and fiduciary frameworks (incl. procurement)

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Cambodia:

•First joint country mission (with GAVI, WB and WHO representatives) in early June 2010

•Ministry of Health approved approach in August 2010, and has given permission for work to go ahead.

•All three Platform funding partners have harmonized performance indicators with those of national strategy and have agreed to strengthen country’s health information system.

•Further work planned to support upcoming mid-term review of the national health strategy

DRC:

•Mission in August 2010 to discuss harmonization of performance frameworks (GAVI and GF grants managed by same MoH project management unit)

Benin:

•Joint partner work started to harmonize and align, with a potential focus on performance frameworks and financial management.


Track 1 - Existing funding: Progress to date

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Track 2.1: Joint proposal form with GAVI

Joint process (but not in all instances)

Based on joint mechanism/framework

Separate

ProposalDevelopment

Submission of

jointproposal

Independent review

by TRP/IRC

Board approval

Financial arrange-

ments

Step 1 Step 2 Step 3 Step 4 Step 5

Grant manage-

ment

Step 6

Key elements (current thinking):

• One form to request HSS funding from GAVI and/or Global Fund (same structure, same M&E and financial management framework) – this will reduce transaction cost

• Applicants still requested to delineate amounts requested from each of the agencies

• Possible to submit joint requests to GAVI and the Global Fund, but could also be individual requests to either agency (form is replacing current GF 4B/5B for HSS cross cutting component)

• Joint requests will be developed and signed off by CCM and health sector coordinating body – strong coordination required

• Joint request and joint review by TRP/IRC (for joint requests) enables holistic view on HSS needs in country

• Grant management based on harmonized M&E and financial management procedures (if requested within the parameters of a joint financing agreement)

Work in progress

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Health Systems Funding Platform (HSFP)Track 2.2: Pilot for funding based on assessed strategy

Joint process (but not in all instances)

Based on joint mechanism/framework

Separate

JointAssessment

Fundingrequest

Independent review

Board approval

Financial arrange-

ments

Step 1 Step 2 Step 3 Step 4 Step 5

Grant/credit manage-

ment

Step 6

World Bank project appraisal process

Key elements (current thinking):

• Joint assessment of national health strategy based on IHP+ JANS tool and process including all relevant stakeholders (incl. civil society)

• Light funding request predominantly consisting of existing documentation (could be joint request to GAVI/GF) – therefore directly aligned with country priorities

• Development and submission of funding request by CCM under strong coordination with health sector coordinating body

• Joint review by TRP/IRC (for joint requests)

• Grant management based on harmonized M&E and financial management procedures (if requested be within the parameters of a joint financing agreement)

Pending PSC approval

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Health Systems Funding Platform (HSFP)Next steps

• Continue joint partner work and consultations (including monthly phone calls with civil society representatives of all three Platform funding partners)

• Policy and Strategy Committee reviewing proposed design for HSFP pilot for approval (25/26 October)

• Portfolio and Implementation Committee reviewing draft joint proposal form for sign off (Feb 2011)

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Joint Assessment



Multi-stakeholder involvement

Session Overview

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• Multi-stakeholder involvement (MSI) is an absolutely essential principle for GF. Application of joint assessment in Global Fund context needs to be designed in accordance with this core principle.

• The question is not whether but how we should achieve this.

• NSA approach in fact provides an opportunity to extend MSI to development of a national strategy (as opposed to just development of a GF-specific proposal – as in regular rounds-based approach)

• Need to see this as an evolutionary process; learn as you go

• Key objective in ‘early’ NSA waves and HFSP pilot is to learn what mechanisms are appropriate and effective to achieve this more ambitious level of MSI over time (including via positive incentives)


Context

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Strategy development process

Decision to participate in joint assessment

Joint assessment team and process

Decision to develop and submit NSA

Grant implementation and oversight


Various entry points for MSI

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Joint assessment stage (NSA)

Requirements on joint assessment of national disease strategies for purposes of NSA Second Wave:

• Requiring that joint assessment organizing body incorporates multi-stakeholder representatives and/or consults them systematically during preparation process

• Assessment of national strategies against IHP+ attributes of sound national strategies, including attribute focusing on “multi-stakeholder involvement in the development […] and final endorsement of a national strategy”;

• At least one assessment team member with specific responsibility and expertise for examining MSI;

• Joint assessment team discussions with civil society stakeholders as part of in-country visit;

• Requiring that details of the joint assessment (including organizing body, agenda, and outcome briefing) are published transparently

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Multi-stakeholder inclusionGlobal Fund application stage (NSA and HSFP Pilot*)

Existing Global Fund mechanisms maintained:

Development of funding request:

•Maintaining role of CCM and eligibility criteria for CCMs (ensuring appropriate multi-stakeholder representation)

•CCM decides on how to apply for funding:

• For NSA Second Wave: CCM to decide whether to submit NSA (based on jointly assessed national disease strategy) or whether to apply through regular proposal

• For HSFP Pilot: CCM to decide whether funding request should be based on jointly assessed health strategy or whether regular proposal should be developed

Submission of funding request:

•Submission by CCM

•In addition: In case of joint assessment showing insufficient multi-stakeholder inclusion in development of the strategy, need for CCM to describe „remedial actions“

Selection of PRs:

•Maintaining of Dual-Track Financing policy

*Current thinking – input required

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1. How to ensure joint assessment organizing body at country level incorporates civil society as part of preparation process?

2. How to ensure selection of an appropriately qualified and unbiased ‘civil society expert’ for assessment team?

3. How to ensure consistent and thorough assessment of ‘MSI attribute’ across countries?

4. What mechanism to support development and application of appropriate ‘remedial actions’ where weaknesses found in ‘MSI attribute’, and follow up on these?


Issues requiring further elaboration

national strategy applications and health systems funding platform joint assessment and...

Documents

independent assessment

ihp jans principles

tool jans

mitigation strategies

disease strategies

multi stakeholder

msi slide

subsector strategies