Information Note for the Global Fund’s Investments in Health and Community Systems Strengthening Draft, January 28, 2013 This draft was developed by an HSS/CSS working group and incorporates comments from wider HSS, CSS, gender and human rights communities. It will be reviewed by HIV, TB and malaria communities before submitting to the Global Fund leadership for review and approval 2013 Contents Acknowledgements ............................................................................................................................. 3 Executive Summary ............................................................................................................................. 4 1. Introduction ................................................................................................................................. 6 1.1. What is this document for? ............................................................................................................. 6 1.2. Why Health and Community Systems Strengthening? .................................................................. 6 1.3. The Global Fund’s investments in Health and Community Systems Strengthening ...................... 7 1.4. The basis for cross-cutting HCSS funding applications ................................................................. 8 2. Interactions between health and community systems ....................................................................... 9 3. Priorities for cross-cutting HCSS investments ...............................................................................13 4. Links between Global Fund investments in HIV/AIDS, tuberculosis and malaria programs and crosscutting HCSS ..................................................................................................................................... 17 5. Important considerations for developing cross-cutting HCSS funding requests ............................... 23 5.1. Entry points for health and community systems strengthening ......................................................... 23 5.2. Addressing common needs across HIV/AIDS, tuberculosis and malaria programs ......................... 23 5.3. Diagnosing underlying causes of poor systems performance............................................................ 23 5.4. Seeking synergies with health outcomes beyond HIV/AIDS, tuberculosis and malaria ................... 23 5.5. Preempting potential side-effects of cross-cutting HCSS interventions ............................................ 24 5.6. Applying evidence-based interventions and innovative approaches ................................................. 24 5.7. Integrating outcome and impact measurement in cross-cutting HCSS funding requests .................. 24 6. Integrating Gender, Human Rights, RMNCH and Other Cross-cutting Issues in HCSS ................... 24 Annex A: Indicative scope of Global Fund’s investments in HCSS ....................................................... 26 2 Acknowledgements This document was developed by an inter-agency working group composed of: George Shakarishvili, The Global Fund Mauro Guarinieri, The Global Fund Meg Davis, The Global Fund Michael O’Connor, The Global Fund Motoko Seko, The Global Fund Bruno Bouchet, FHI-360 Matt Greenall, ICASO Daniel Kraushaar, Management Sciences for Health Gitau Mburu, International HIV/AIDS Alliance Thierry Mertens, WHO Paolo Piva, WHO Denis Porignon, WHO David Traynor, Communities Delegation to the Global Fund Board David Weakliam, Irish Aid We are grateful for valuable comments and suggestions received from: George Ayala, Nicolas Bidault, Karen Cavanaugh, Martin Choo, Tarek Elshimi, Bob Emrey, Tim Evans, Louis da Gama, Robin Gorna, James Heiby, Mai Hijazi, Sowmya Kadandale, Nicole Klingen, Lisa Luchsinger, Sigrun Mogedal, Anders Nordstrom, Anton Ofield-Kerr, Bola Oyeledun, Todd Page, Mike Podmore, Pascal Rodriguez, David Ruiz, Tore Rose, LiannaSarkisi, Gerard Schmets, Bakuti Shengelia, Ken Sklaw, Scott Stewart, Raminta Stuikyte, David Wendt, Shona Wynd, Rachel Yates. 3 Executive Summary The Global Fund has provided financial support for cross-cutting Health Systems Strengthening (HSS) interventions for some years, and has also supported Community Systems Strengthening (CSS) through disease specific grants. Under the New Funding Model, being phased in during 2013, cross-cutting support will be available for both HSS and CSS as an integrated approach to systems strengthening. By developing this approach, the Global Fund is recognizing that effective responses to HIV/AIDS, tuberculosis and malaria, and improved health outcomes in general, are produced by a complex system of institutions, organizations and sectors. The HCSS approach implies that effective investments in HSS and CSS are interdependent: not only do health systems and community systems intersect and complement each other, but the role of one in a given context is largely dependent on the role of the other. The cross-cutting HCSS approach therefore encourages HSS and CSS planners to evaluate the entire complex system as a basis for developing funding requests that cover the range of health and community systems strengthening needs. Why does the Global Fund invest in cross-cutting HCSS? Strongly performing systems are a necessary prerequisite for effective implementation of HIV/AIDS, tuberculosis and malaria programs that are central to the Global Fund’s mandate. The Global Fund’s investments in cross-cutting HCSS are therefore essential complements to core investments in HIV/AIDS, tuberculosis and malaria programs. Investments in HCSS strengthen national systems and policies so as to maximize impact and to ensure long-term sustainability of health outcomes across disease programs, as well as improving service delivery for other health issues. By investing in HCSS, the Global Fund fulfills its mandate - to fight the three diseases – by supporting the creation of an enabling environment, within which HIV/AIDS, tuberculosis and malaria programs can be implemented more effectively, efficiently and equitably. Cross-cutting HCSS investments must support national systems as a common public good. Although the investments should primarily improve efforts to fight the three diseases, cross-cutting HCSS interventions that also improve health outcomes beyond them are encouraged. Cross-cutting HCSS investments foster synergies between multiple health programs and support their integration into a common national system. What do cross-cutting HCSS investments achieve? At the operational level, cross-cutting HCSS investments provide necessary inputs (e.g. salaries, supplies) where domestic resources are not sufficient to operate the system at minimally acceptable standards. This ensures uninterrupted functioning of the system’s core components, which are essential for HIV/AIDS, tuberculosis and malaria programs. At the planning/management level, cross-cutting HCSS investments improve the organization, management, capacity, set up and funding of discrete parts (institutions or subsystems) of the system, which are essential to the effective functioning of health programs, notably for HIV/AIDS, tuberculosis and malaria. These investments strengthen the system’s capacity and their effect is expected to be sustained beyond the life-time of the Global Fund’s funding; To a limited extent, cross-cutting HCSS investments may also be directed at the inter-sectoral level, to address gaps in State functions or policies and laws that adversely affect health and community systems, and that consequently interfere with effective delivery of HIV/AIDS, tuberculosis and malaria programs (e.g. public financial management, civil service, decentralization arrangements in federal states, discriminatory policies or practices within health systems, the ability of key affected populations to establish and develop networks to represent them in policy advocacy, etc.) 4 This document is intended to inform applications for cross-cutting health and community systems strengthening funding (HCSS). Cross-cutting support helps to improve the performance of HIV/AIDS, tuberculosis and malaria programs as well as more broadly strengthening the systems and mechanisms that contribute to fighting diseases and improving health. The document is intended to clarify the rationale for and objectives of the Global Fund’s crosscutting HCSS investments; explains the intersections and interactions between health and community systems; identifies priorities for Global Fund support to cross-cutting HCSS and the scope of support available from the Global Fund in this area; and points out a number of important considerations for developing successful funding requests, including the importance of addressing gender, human rights and other cross-cutting issues which are central to the Global Fund’s mandate and which are essential for effective programs. It also intends to help applicants to highlight links between cross-cutting HCSS interventions and disease-specific interventions that have a spillover effect of strengthening systems. Applicants developing disease-specific funding requests may find this Note useful for framing the systems-related components of their applications. However, they should primarily refer to the disease specific guidance in developing applications for disease grants. 5 1. Introduction 1.1. What is this document for? This document is intended to inform applications for cross-cutting health and community systems strengthening funding (HCSS). Cross-cutting HCSS helps to improve the performance of HIV/AIDS, tuberculosis and malaria programs as well as more broadly strengthening the systems and mechanisms that contribute to fighting diseases and improving health. The document clarifies the rationale for and objectives of the Global Fund’s cross-cutting HCSS investments, identifies the scope of support available from the Global Fund in this area and points out important considerations for developing successful funding requests. It also helps applicants highlight links between cross-cutting HCSS interventions and disease programs. The document is designed as a technical reference to inform one of the main components of the Global Fund’s New Funding Model - country dialogue between national stakeholders, communities affected by the three diseases, technical partners, the Global Fund and other donors. The document helps identify strategic, high-impact interventions that will positively impact the environment (i.e. the health and community systems) in which HIV/AIDS, tuberculosis, and malaria programs operate, and which help improve health outcomes more generally. In addition to informing the content of cross-cutting HCSS funding requests, the document may also be used by the Global Fund’s Technical Review Panel (TRP) in reviewing requests, and the Global Fund Secretariat, applicant countries, and technical partners, in considering options for reprogramming the HSS and CSS components of existing Global Fund grants. 1.2. Why Health and Community Systems Strengthening? This information note captures a number of important shifts in the Global Fund’s approach to supporting health and community systems strengthening: Under the Global Fund’s previous funding model, cross-cutting funding (i.e. funding across the three diseases) was only available for health systems strengthening. Under the New Funding Model applicants will now be able to submit requests for HSS and CSS interventions as an integrated approach to cross-cutting systems strengthening. By developing the concept of “Health and Community Systems Strengthening”, the Global Fund is recognizing that effective responses to HIV/AIDS, tuberculosis and malaria are produced by a complex system of institutions, organizations and sectors. The HCSS approach implies that effective investments in HSS and CSS are interdependent: not only do health systems and community systems intersect and complement each other, but the role of one in a given context is largely dependent on the role of the other. The crosscutting HCSS approach therefore encourages HSS and CSS planners to evaluate the entire complex system as a basis for developing funding requests that cover the range of health and community systems strengthening needs. Although cross-cutting HCSS funding encourages a broader approach to assessing and strengthening systems to fight HIV/AIDS, tuberculosis and malaria, the Global Fund also recognizes that, although they intersect in many of their functions, health and community systems are different in their nature, in the approaches for implementation, and in the types of organizations involved. In the same way that the Global Fund encourages dual-track financing for disease-specific grants, it is expected that cross-cutting HCSS grants will 6 also employ the most appropriate implementation arrangements, including dual-track financing and civil society led-implementation. Applicants are encouraged to also refer to other documents such as the Community System Strengthening Framework, that remains the key reference for developing the role of key affected populations and communities, community organizations and networks, and public- or private-sector actors that work in partnership at the community level, in the design, delivery, monitoring and evaluation of services and activities aimed at improving health1. While this Information Note is designed to support applicants developing cross-cutting HCSS funding requests, the Global Fund will also continue to support interventions within disease-specific funding requests, which may also have the spillover effect of strengthening health and community systems. As such, applicants developing diseasespecific funding requests may find this Note useful for framing the systems-related components of their applications. However, they should primarily refer to the disease specific guidance in developing their applications. 1.3. The Global Fund’s investments in Health and Community Systems Strengthening The Global Fund Strategy for 2012-2016, Investing for Impact, calls for better alignment of Global Fund investments with national systems and structures. The term “national systems” refers to all country systems and includes both government and non-government domains. Hence, “cross-cutting Health and Community Systems Strengthening” implies that: (i) The impact of these investments goes beyond what is considered to be the formal health sector and encompass the community, private and informal sectors. In order to do this effectively, investments must take into account country specificities in the roles various actors play in the response to HIV/AIDS, tuberculosis and malaria, and health in general; (ii) The impact of investments goes beyond impact on a single disease, as these investments strengthen national systems that contribute to health outcomes more generally; (iii) The impact of investments is not limited to the strengthening of functions and components of the formal health system, since they also strengthen functions, components and actors within communities (the “community system”) that contribute to improved health outcomes. Investments in cross-cutting HCSS are, in many cases, a necessary complement to the Global Fund’s core investments in HIV/AIDS, tuberculosis and malaria programs. While disease grants fund the provision of preventive, diagnostic, treatment, care and support services, as well as supporting community mobilization and critical disease-specific enablers, cross-cutting HCSS investments address system-wide constraints that affect efforts to combat the three diseases. The objectives of the Global Fund’s cross-cutting HCSS investments are as follows: (i) To foster synergies between various health, social and community development programs, with a special focus on disease programs supported by the Global Fund, and 1http://www.theglobalfund.org/documents/civil_society/CivilSociety_CommunitySystemsStrengthening_ Framework_en/ (pdf) 7 to ensure that disease programs are properly integrated into health and community systems; (ii) To support, scale-up and improve quality and equity of service delivery, to strengthen and build capacity of human resources for health, and to support integrated responses to HIV/AIDS, tuberculosis, and malaria, and synergies with other health and community services (in particular those related to sexual and reproductive health and rights, maternal, neonatal and child health); (iii) To provide essential support, including capacity building, to health and community systems and sub-systems, such as those that relate to health information, procurement and supply chain management, public financial management, civil service, governance and accountability, networks and linkages between different actors and service providers, health equity, community based, private and informal service provision, community mobilization, and human rights of people most affected by AIDS, tuberculosis and malaria; (iv) To support efforts aimed at reforming and refining legal, policy, regulatory and financial contexts for increased transparency, equity, sustainability and efficiency of health services and outcomes, and to ensure enabling environments for efforts to fight AIDS, tuberculosis and malaria; (v) To support efforts to engage communities in the planning, delivery and monitoring of services and systems to ensure they meet their needs, are respectful of their rights, and help fulfill the right to health. Specific HCSS interventions supported by the Global Fund will vary from country to country, as they will be based on the specific needs and contexts. Annex A provides an indicative list of interventions and activities that can be supported by HCSS grants. 1.4. The basis for cross-cutting HCSS funding applications Cross-cutting HCSS funding requests should be informed by a thorough analysis of health and community systems needs across the three disease programs, which identifies systemic bottlenecks that are relevant to efforts to respond to HIV/AIDS, tuberculosis and malaria, and which maps the current availability of resources to address them. Development of HCSS funding requests and prioritization of interventions based on a thorough gap analysis are the responsibility of applicants, and, similarly to disease-specific grants, the Global Fund requires that cross-cutting HCSS funding requests be based on inclusive, multi-stakeholder processes that address all levels of the health and community systems. Where possible, the process of analyzing HCSS gaps and developing a cross-cutting HCSS funding request to the Global Fund should build on existing mechanisms, such, as for example, the Joint Assessment of National Strategy (JANS) where multiple donors, led by the host country, discuss their respective financial support for supporting the implementation of the national health strategy. The Global Fund recognizes, however, that health systems analyses, including JANS, focus on formal health systems, and that the role of community systems within health systems and as complements to health systems is inadequately recognized. There is therefore a need to introduce 8 processes which enable community system stakeholders to engage effectively in these analytical and planning processes, and to develop and adapt tools that can effectively capture the role played by community systems and the weaknesses or gaps that should be addressed in cross-cutting HCSS funding requests. Ensuring a balanced health and community systems approach is essential. The process for developing cross-cutting HCSS funding requests should also be closely linked to analyses of HIV/AIDS, tuberculosis and malaria programs and to processes for developing HIV/AIDS, tuberculosis and malaria funding applications to the Global Fund. A joint analysis of the different programs and funding requests is necessary to ensure that systems strengthening efforts are not duplicated or neglected, and that they are incorporated in the most appropriate funding request. Multi-country and regional applications for cross-cutting HCSS funding will be considered. However, given the complexity of defining systems that span multiple countries, it is advised that potential applicants discuss this approach with the Global Fund prior to preparing a funding request. 2. Interactions between health and community systems Improved health outcomes result from a range of policies, services, and other activities, which are put in place by a wide range of actors. Together, they form a complex system, which includes not only government or public health systems (made up of health facilities, regulatory and governance bodies, and state-employed health care professionals), but also other sectors and actors within communities and the private sector which are just as important to efforts to improve health outcomes. Community systems are structures and mechanisms through which community members, community-based organizations and other actors coordinate and deliver their responses to the challenges and needs they face2. Community organizations have a unique ability to identify, understand and respond quickly to the needs of communities and individuals who are made vulnerable as a result of social and structural factors, and who are affected by inequitable access to health and other basic services. They often play a role in delivering services (particularly non facility-based health services, and other social services), and they are also essential to ensuring that formal health systems are responsive to needs, in particular the needs of marginalized groups. In some contexts, community actors have to operate outside of mainstream health systems in order to protect the health and human rights of people who are marginalized– for example, undocumented migrants, sex workers, sexual minorities or people who use drugs. Strong community systems play an important role in facilitating community participation in: design, implementation and evaluation of programs and services; advocacy; creation of demand for good-quality health services and equitable access ; addressing broader determinants of health including gender inequalities and human rights; and promoting meaningful community engagement in health-related governance, oversight and accountability. As such, community action on health is an important complement to clinical or facility based health services, as it helps to ensure they reach the right people and that they have the maximum impact, and by addressing broader determinants of health. A multi-country evaluation of community based responses conducted by the World Bank showed strong causal evidence that 2Adapted from: The Global Fund to fight HIV, TB and Malaria. Community Systems Strengthening Framework. 2011 revision. 9 specific community interventions can affect epidemic trends through increased knowledge, and increased access to and use of prevention and treatment services3. Support to community systems also builds ownership of health problems, and through this ownership communities originate solutions and play an important role in implementing them. The health system, which defines and regulates the provision of HIV/AIDS, TB, malaria services, as well as those of other priority national health programs, is a complex system where political commitments, human resources, laws, regulations, fiscal constraints, financial management, external aid and national budgetary processes and allocations, all interact to impact on the efficiency and efficacy of service delivery and ultimately on health outcomes Those multiple processes, sub-systems and actors constantly and continuously interact making the system a multidimensional dynamic entity, made up of interconnected and interdependent elements that continuously change in response to external events, inputs and demands (Figure 1). Figure 1: The continuum from political commitments to outcomes (source - WHO) Although health systems and community systems are defined separately above, the two systems are not mutually exclusive. Indeed there is significant overlap, as community or civil society actors are often involved in providing health services, and similarly, employees of state health systems often have a strong community focus (for instance, state-employed community health workers). Community systems are therefore both components of and complementary to health systems. Understanding the interdependency of formal health systems and community systems is important in guiding investments for better outcomes in the HIV/AIDS, tuberculosis and malaria, and beyond (Figure 2). 3World Bank.Evaluation of Community Responses to HIV and AIDS 2012 10 Social,cultural, economic, legal and polictical environments health actors community actors Output Overlap, synergies & cooperation between community & health systems that lead to: Develop & manage Resulting in: Health Outcomes Enablers Systems which in turn contribute to: Deliver Health impact Activities and services Figure 2: Strengthening health and community systems for scaled-up, good-quality, sustainable impacts on health4 Table 1 (below) provides further detailed examples of how certain functions that are necessary for improving health outcomes require a combination of interventions delivered from both community systems and (formal) health systems perspectives. These interventions work in combination to achieve health outcomes. Moreover, the complementarity between community and health systems is most effective when there are strong referral and feedback mechanisms between the two. 4Adapted from Community Systems Strengthening Framework (Global Fund, 2011) 11 Examples of Functions Care and treatment Examples of Interventions within Community systems Examples of Interventions within Health Systems Home based care and support, adherence counselling (including in health facilities) Provision of services in prisons and other closed settings Community outreach, education and information exchange, communication and distribution of commodities Community level monitoring of access, stigma, human rights violations. Advocacy with government for legal protections Provision of treatment at health facilities Poverty reduction; social protection and livelihood support; access to education; gender transformative programming; programming promoting rights; combating misinformation, discrimination, stigma and violence Collaboration between Ministry of health and Ministry of Education on school-based health promotion programs Development and implementation of non-discrimination policies Training and sensitization of health professionals Ensuring health management information systems are able to assess equity, particularly related to gender and vulnerable community Linking with other sectors such as social welfare and protection, justice, education, women, children and family, women, children and family; Promotion of gender transformative programming within the health sector and with other sectors; Ensuring inclusion of community actors in planning and implementation and evaluation of health system activities Developing regulations for health worker retention in hard-to-reach areas Health promotion Equity, gender and human rights Addressin g social determina nts of health Enhancing systems capacity Building organizational capacity of community organizations Building community health workers (including service providers) and social welfare capacity Organizational capacity building Community worker (including volunteer) support and retention programming Monitoring, documenting and evaluating community interventions Social mobilization, building community linkages, collaboration and coordination Developing referral mechanisms between different components of health and community systems Strengthening information and M&E systems through development of (sex and age disaggregated) indicators and reporting Developing organizational and facility management systems Developing referral mechanisms between different components of health and community systems Table 1: Interactions and complementarity between health and community systems 12 This interdependence underscores the mandate of the Global Fund to strengthen health and community systems for the effective delivery of HIV/AIDS, tuberculosis and malaria programs. Strengthening both health and community systems is essential in bringing all actors and system components into full partnership. The Global Fund acknowledges that there is a power imbalance between institutional and community actors, that institutional and governmental actors are not always committed to empowering and involving community actors, and that at times they are unwilling to support, recognize or endorse community led services and activities. The Global Fund plans to help to address this imbalance in two ways. Firstly, as noted above, the Global Fund requires that all cross-cutting HCSS funding requests be based on a country dialogue through which all actors are meaningfully represented; and the Global Fund will aim to ensure that there is an appropriate distribution of resources between different actors. This will be properly monitored as part of the transition to the New Funding Model. Secondly, the Global Fund will help address the imbalance through its investments in crosscutting HCSS, as well as through investments in disease-specific programs. As noted above, CSS has not explicitly been considered for cross-cutting funding requests by the Global Fund until now. The Global Fund believes that through a strong focus on building organizational and human resource capacity, and on ensuring that sufficient financial resources are provided to organizations working at the community level in a stable, predictable way, the role of community systems will increasingly be recognized and promoted at national level. The Global Fund also recognizes that as a basic element of community systems strengthening, civil society organizations need to be able to legally register and establish organizations and networks. Both organizations and individuals have the right to share health information and to express opinions about laws and policies, as well as to gather documentation to monitor their implementation. Thus, funding for CSS will aim to build capacity of community-led organizations and networks of key affected populations to register and establish sustainable institutions, to coordinate their work at the local and national levels, to gather documentation and publish results and recommendations on health and human rights, and to participate effectively in CCMs and in other policy and advocacy forums. 3. Priorities for cross-cutting HCSS investments The Global Fund’s investments in cross-cutting HCSS will address system bottlenecks and weaknesses at the operational, planning/management and at the inter-sectoral levels: At the operational level, system weaknesses and bottlenecks are caused by an overall lack of system inputs – for instance in low-income countries, where domestic resources are not sufficient to operate systems at minimally acceptable standards. HCSS investments at the operational level are mostly inputs that will allow for smoother, uninterrupted functioning of the system’s core components, and might better be defined as “system support” than “system strengthening”, with the implication that such investments may not result in sustainable outcomes beyond the lifetime of the program. When requesting funding for such investments, applications should demonstrate that no other funding sources are available for providing the inputs in question. If such investments benefit only one disease program/outcome, they should be included under a respective disease grant. If these investments benefit more than one disease program/outcome, such investments can be included in cross-cutting HCSS funding requests. 13 At the planning/management level, HCSS investments can improve the organization, management, capacity, establishment and funding of discrete parts (institutions or subsystems) of systems, which are required for effective functioning of efforts to improve health. Investments in this area will produce changes in the organization, capacity, management, administration, policies and regulations in health and community systems At the inter-sectoral level, HCSS investments may address weaknesses in the State functions that adversely affect multiple sectors, including health, and consequently interfere with effective delivery of disease control programs. Examples include public financial management, civil service regulations, decentralization arrangements in federal states, governance of civil society and community organizations, and coordination of the actions of different sectors. These investments may also include support to inter-sectoral partnerships to address human rights (e.g. through initiatives with lawmakers, human rights commissions, the court system, prisons, police, etc.). Funding requests for cross-cutting HCSS are expected to be mostly focused on strengthening the systems performance at the planning/management level. Investments at the operational level will be supported if the applications provide sufficient rationale indicating that no other sources are available for uninterrupted function of the components in question. As a general guidance, only a small portion of HCSS funding is likely to be allocated for addressing the inter-sectoral level, as addressing most of these bottlenecks goes beyond the Global Fund’s mandate. Table 2 describes different types of system weaknesses and the ways in which they can be addressed by Global Fund funding. 14 Types of system weaknesses Illustrative Areas Operational level: Occur at the national, sub-national, facility and organizational levels; Require scaling-up of resources and provision of other inputs to support uninterrupted operation of systems. Planning/management level: Occur at the national and subnational levels, mostly within the mandate and capacity of the MoH, community based organizations, networks, and other system stakeholders; Require policy and strategy changes, institutional and structural interventions, convening and capacity building. Lack of reliable information on scope and performance of community systems Inter-sectoral level: Are external to health systems but may relate directly to concerns of community organizations; MoH, health and community actors have only a limited mandate and capacity to intervene/address intersectoral weaknesses. Illustrative Impact of System Weaknesses Service delivery; Health and community workers; Upkeep of infrastructure; M&E Procurement and supply chain management; Health information system; Health sector governance; Governance and capacity of community organizations, and networks of people living with the diseases; Human resources Increasing equity by expanding services to underserved areas Adequate planning of community sector action Public financial management; Decentralized public governance systems; Regulations relating to establishment and functioning of nongovernment and community based Disrupting service provision; Reduces treatment access and adherence; Disrupting system management functions. Affecting health outcomes across more than one disease programs; Weakening enabling factors, which normally enhance effectiveness and efficiency of the system (e.g. equity, sustainability, transparency, accountability, participation of affected communities…) Weakening regulatory, management functions. Duplication of efforts and inefficiencies. Impacts are systemic: they change the way the State regulates and administers the health and community systems and actors; Impact is not exclusively limited to the health and community systems (i.e. other sectors such as - education, water and sanitation, Illustrative Interventions to Address Weaknesses GF funding Provision of inputs (e.g. HRH salaries, medical supplies, vehicles; funding for day to day operations…) Support to more comprehensive community mobilization and involvement National and sub-national: mostly on the way the system and its discrete components operate; Requires complex interventions by combining multiple activities from various building block domains. Information systems to capture more comprehensively the state and gaps within community responses Often funded by disease grants, but may also be funded by HCSS if benefits go beyond a single disease, with proper justification of absence of other resources. National and multi-country: to be agreed and implemented in partnership with central government entities (i.e. legislative bodies, parliament), beyond the MoH and with regulatory bodies, civil society organizations, networks and activists; particular attention to be paid to intersectoral Limited: Global Fund may provide support for only those activities, which yield justifiable effects for health and community system functions, which benefit the delivery of HIV/AIDS, tuberculosis and malaria programs, with proper justification of absence of other resources. Most of HCSS funding will be used to address these system weaknesses. 15 organizations Human rights and gender related legislation and regulations. Criminal justice system Education system Prisons Social protection systems courts etc. may also be affected). weaknesses affecting the community sector that result from non-conducive national policies. Table 2: Health and community systems weaknesses 16 4. Links between Global Fund investments in HIV/AIDS, tuberculosis and malaria programs and cross-cutting HCSS As described above, cross-cutting HCSS investments should aim to eliminate system weaknesses which interfere with the effective implementation of HIV/AIDS, tuberculosis, malaria and other programs and the effective functioning of health and community systems in general, rather than focusing on specific system components in a fragmented manner. The scientific literature highlights three fundamental interdependencies between health and community systems and disease programs: Weaknesses in services and other interventions delivered by health and community systems undermine the impact of disease control programs; Even when a disease program is successful, it is unlikely that its health impact will be sustained if the systems through which disease-specific services are delivered are dysfunctional; A specific disease control program will not strengthen health and community systems without an explicit strategy to address systemic weaknesses. Therefore, the returns on investments in disease program depend on the way health and community systems functions are performed to effectively contribute to improving access to and quality of services needed to address equitably the comprehensive health needs of a population beyond one specific disease and with efficient use of available resources. Table 3 below illustrates the interdependencies between health and community systems and a disease-control program. It provides an illustration of how specific investments in HCSS can complement disease-specific grants. The example in Table 3 highlights three conditions for a successful cross-cutting HCSS funding request to the Global Fund: The identification of the specific causes of poor system performance through an in-depth health and community systems analysis; A combination of HCSS interventions falling under the systems components listed in Annex-A; A clear explanation of how the HCSS interventions support efforts to fight HIV/AIDS, tuberculosis and malaria as well as health outcomes more broadly. The table also provides illustrative examples of how cross-cutting HCSS interventions may address disease-specific and more complex cross-cutting system bottlenecks. These examples illustrate reciprocal interdependence between investments in HCSS and in disease programs, further emphasizing the importance of a coordinated approach to designing funding requests. Health issues to be addressed through disease control programs. Example: HIV/AIDS Traditional responses of disease control programs HIV prevalence remains high among the general population of country X and only 35% of the key populations at risk receive effective coverage (utilization and quality are poor) with a comprehensive range of counseling, testing, and treatment services. Behavior change and communicatio n campaigns Distribution of commodities Community mobilization and outreach with key populations Mobile HIV counseling and testing Free provision of ART to HIV+ patients Home care, adherence support Training of service providers including community outreach workers in HIV care Separate PMTCT Potential sideeffects of disease control programs on health and community systems (HCS) Coverage issues: Increased utilization of HIV services at the expense of other services Efficiency issues: Primary care providers and community workers spend more time delivering specialized HIV services, leading to inefficient use of human resources Multiplication of parallel information systems overburdening staff and resulting in unreliable data on HIV Duplication of parallel supply chain management HCS weaknesses affecting the performance of disease control programs and the sustainability of their outcomes Inter-sectoral level: Lack of joint planning between the Ministry of health, community sector, and other sectors (finance and education) Competition among programs Legal and social environment creates barriers to effective programs and causes vulnerability in certain population groups (lack of enabling environment) Insufficient linkages with other social programs Management/planning level Health system weaknesses: Insufficient, unevenly distributed and demotivated service providers Possible cross-cutting HCSS interventions How cross-cutting HCSS may benefit the disease control programs funded Service delivery functions: 1. Develop publicprivate partnerships (PPPs) to increase coverage with services provided by public health programs 2. Integrate services for maximum efficiency, based on evidence, in particular integrating PMTCT programs with broader MNCH and SRHR services 3. Strengthen community services to reach key populations Service delivery Integrated services allow decreasing missed opportunities while being more responsive to patients’ needs with PMTCT programs meeting women’s needs as well as protecting children Community services for key populations are likely to be better targeted to needs, and more acceptable to marginalized populations Workforce functions: 4. Establish performance-based incentives for multiple services based on population’s effective coverage of needs 5. Scale up workforce in Workforce functions PBI systems will include measures of coverage and quality for all conditions and don’t have to be established for/by each program Pre-service and continuous education systems will decrease the duplication of trainings by disease Health issues to be addressed through disease control programs. Example: HIV/AIDS Traditional responses of disease control programs database for monitoring and evaluation Development of guidelines for continuum of care to HIV+ patients Potential sideeffects of disease control programs on health and community systems (HCS) systems Quality issues: Providers have less time to deliver all services according to standards, resulting in missed opportunities for the delivery of comprehensive services Complex and multiple disease program planning processes affect the effective governance of the health system Facilities and community organizations overburdened by multiple reporting requirements HCS weaknesses affecting the performance of disease control programs and the sustainability of their outcomes Providers poorly trained to treat marginalized groups respectfully and to address gender and other inequalities Inconsistent and unsustainable financing systems with a mix of fee-for service and free diseasespecific services, and sporadic, unpredictable funding particularly for community organizations Fragmented services make it difficult for people to access all the services they need. Services not targeted at populations most in need, or tailored to their needs National health strategies are distorted towards a few diseases and do not reflect the burden of disease; also focused on formal Possible cross-cutting HCSS interventions community sector, paying particular attention to marginalized populations 6. Integrate program training curriculum into pre-service training and establish continuous education system for health and community workers Procurement and supply functions: 7. Integrate procurement mechanisms for consumable health products and medicine 8. Decentralize stock management based on needs, including to the community level Information functions: 9. Transform the health information system into a health and community system information system How cross-cutting HCSS may benefit the disease control programs funded control programs and the burden on service providers Procurement and supply functions: An effective and unique procurement system is more efficient and benefits all supplies and drugs Decentralized stock management is more likely to prevent stock outs of all drugs by addressing the real needs for consumables Information functions: 1. The health & community information system will provide information on systems performance and how it affects disease programs 2. New routine health information systems will provide the 19 Health issues to be addressed through disease control programs. Example: HIV/AIDS Traditional responses of disease control programs Potential sideeffects of disease control programs on health and community systems (HCS) Equity issues: Burn out and attrition of the workforce due to excessive workload for HIV programs Creation of HIV-related stigma, leading to greater difficulties in reaching most affected groups Payment exemptions for some patients only HCS weaknesses affecting the performance of disease control programs and the sustainability of their outcomes health system with insufficient attention paid to community systems Community system weaknesses: Community organizations constrained due to limiting regulations on registration and limited acceptance by health sector Insufficient planning of support to the strengthening of community sector organizations Funding to community sector is insufficient, sporadic and unpredictable Limited quality of community based interventions, lack of norms for effective and ethical practice Lack of engagement of community actors, Possible cross-cutting HCSS interventions by adding HCSS performance indicators and mechanisms for collecting them reliably and consistently 10. Streamline program indicators and integrate them into the routine health and community information systems ensuring sex and agedisaggregated data is collected Community functions: 11. Develop demand side incentives for population groups to increase service utilization 12. Develop accountability mechanisms at the community level 13. Support community mobilization and How cross-cutting HCSS may benefit the disease control programs funded information necessary to decision makers at all levels to allocate resources and prioritize health issues, in line with need. Community functions 3. Community level incentives eliminates barriers to utilization of services and addresses health issues self-identified by the population 4. Communities will be engaged in their health and will contribute to building a more responsive health system 5. More effective community organizing and advocacy on health in general Legal, policy and regulatory functions: 6. The standard development unit can 20 Health issues to be addressed through disease control programs. Example: HIV/AIDS Traditional responses of disease control programs Potential sideeffects of disease control programs on health and community systems (HCS) HCS weaknesses affecting the performance of disease control programs and the sustainability of their outcomes especially key populations, in program planning, service delivery and monitoring; Stigma, discrimination, beliefs and risky social norms Lack of accountability of service providers to the communities; Operational level Health system weaknesses Lack of basic supplies Poor upkeep of infrastructure Insufficient supportive supervision and inservice training Community systems weaknesses Lack of basic supplies and infrastructure Insufficient supportive supervision and in- Possible cross-cutting HCSS interventions leadership development to enhance advocacy on program barriers Legal, policy and regulatory functions: 14. Development and adoption of quality norms for all health and community sector services 15. Build capacity of health and community managers in quality assurance/quality improvement 16. Support advocacy particularly from community sector organizations on social/environmental/l egal barriers affecting the impact of programs 17. Strengthen community engagement in local and national decision How cross-cutting HCSS may benefit the disease control programs funded develop clinical practice guidelines and SOPS for all types of services with inputs from content – knowledge experts 7. District managers and community based networks can set up quality improvement projects to ensure quality of any service 20. Enhanced recognition of role of community systems in AIDS, TB and malaria response, with adequate planning for community sector action Financing functions 8. An insurance scheme will improve financial access regardless of health needs and increase utilization of services 9. PPPs will be consistent across all services and programs, contributing 21 Health issues to be addressed through disease control programs. Example: HIV/AIDS Traditional responses of disease control programs Potential sideeffects of disease control programs on health and community systems (HCS) HCS weaknesses affecting the performance of disease control programs and the sustainability of their outcomes service training Possible cross-cutting HCSS interventions How cross-cutting HCSS may benefit the disease control programs funded making related to health and specific disease programs to increase coverage and continuum of care 10. Community sector programming is consistent and continuous and is therefore more supportive of health systems. Financing functions: 18. Replace payment exemptions for specific diseases with an insurance scheme with pooling prepayments (including tax-based and community-based insurance schemes where appropriate) 19. Develop mechanisms to ensure predictable, adequate financing for all aspects of community action Table 3: Complementarity between investments in disease control and HCSS 22 5. Important considerations for developing cross-cutting HCSS funding requests 5.1. Entry points for health and community systems strengthening HCSS funding requests should be based on a comprehensive analysis of system weaknesses and bottlenecks, with a particular focus on those that directly affect responses to HIV/AIDS, tuberculosis and malaria. In most countries, national health strategies are based on an analysis of weaknesses and bottlenecks, and they articulate system strengthening needs. The Global Fund encourages countries to use these strategies, where they exist, as a basis for the development of HCSS funding requests. However, the Global Fund recognizes that national health systems analyses and strategies generally focus on a narrowly defined health system, particularly on stateowned facilities, management, governance and regulatory frameworks. In most settings, the Global Fund anticipates that additional analysis will be needed to identify the weaknesses and gaps within community systems. 5.2. Addressing common needs across HIV/AIDS, tuberculosis and malaria programs As noted above, cross-cutting HCSS funding requests should be based on system-related needs that are relevant beyond a single disease program and that impact on the entire health and community system. However, it is essential that they have an impact in strengthening HIV/AIDS, tuberculosis and malaria programs. Applicants for cross-cutting HCSS funding are required to conduct an analysis of systems strengthening needs for each disease and for health and community systems in general in order to avoid addressing similar system issues through different funding requests. This will reduce the risk of duplication and creation of parallel systems, and will help ensure a more coordinated approach to health and community systems strengthening. 5.3. Diagnosing underlying causes of poor systems performance In order to sustain the impact of cross-cutting HCSS investments, it is important to eliminate the underlying causes of poor health and community systems performance, rather than addressing only the visible symptoms. This requires a thorough analytical needs assessment, that identifies not only gaps or weaknesses in systems, but also their underlying causes. For example, in order to sustainably address the shortage of qualified health and community workers, it is not enough to quantify the gap and invest in workforce production to fill the gap. It is also important to analyze what causes the problem (e.g. poor capacity of training institutions, ineffective providers’ reimbursement mechanisms, lack of sustained, predictable funding for community based organizations…) and to include interventions that address these underlying causes. Such assessments are usually conducted as a basis for developing broader national health strategies; therefore aligning HCSS funding requests to the priorities reflected in national strategies and additional CSS analyses is critical. 5.4. Seeking synergies with health outcomes beyond HIV/AIDS, tuberculosis and malaria Many cross-cutting HCSS investments will also strengthen national systems in ways that help improve health outcomes in areas other than HIV/AIDS, tuberculosis and malaria. There are likely to be particular synergies with sexual and reproductive health and rights (SRHR) and maternal, neonatal and child health (MNCH) outcomes. Applicants for cross-cutting HCSS funding are particularly encouraged to identify and develop interventions that will promote such synergies. Additionally, the Global Fund’s cross-cutting HCSS investments must be supportive of the “do no harm” principle, which aims at preventing that donor-funded programs deliver on their goals at the expenses of other, less-resourced programs (e.g. by drawing the attention of qualified health/community workers toward HIV/AIDS, tuberculosis and malaria programs and thereby reducing the amount of time they can spend on other health issues. Finally, it is important to build not only on programmatic synergies with other health programs (e.g. immunization programs supported by GAVI), but also with other donor-supported programs within the HIV/AIDS, tuberculosis and malaria domains (e.g. PEPFAR, PMI). 5.5. Preempting potential side-effects of cross-cutting HCSS interventions A complex range of interactions exists between the various components of health and community systems. Intervening in one component of the system, may have a knock-on effect on other components and the overall system. For example revision of providers’ reimbursement mechanisms may influence the quality, effectiveness and efficiency of service delivery, by either motivating over-performance, and thus reducing efficiency, or motivating cost-saving, which may affect quality and effectiveness. Funding requests should therefore assess the potential interactions between different interventions. In certain cases, additional interventions should be proposed for preventing potential side-effects. For example, when changing a specific mechanism for providers’ reimbursement, it may also be worthwhile to propose measures for monitoring quality of service provision, for example by enhancing clinical audits, which would be useful of avoiding the risk of affecting quality of care in the new financial environment. 5.6. Applying evidence-based interventions and innovative approaches Cross-cutting HCSS funding requests should justify the value for money and the expected impact of proposed interventions by providing any available evidence relating to the effectiveness of the interventions, and by explaining their relevance in the given country/system context. At the same time, this does not preclude the inclusion of innovative approaches in cross-cutting HCSS funding requests. Applicants may propose such interventions, as long as they are accompanied by convincing rationales. 5.7. Integrating outcome and impact measurement in cross-cutting HCSS funding requests Measuring return is an essential part of any investment. The Global Fund’s 2012-2016 strategy calls for support to high-impact interventions for strengthening health and community systems and as such it is necessary to assess the outcomes and impacts of these investments. However, because of the long causal linkage between HCSS interventions and health outcomes, measuring the impact of cross-cutting HCSS investments in terms of disease prevalence and incidence, mortality and morbidity is unrealistic. Where there is long enough timespan between the baseline and control evaluations, cross-cutting HCSS funding requests should explain how they will undertake assessments of system-wide impacts of HCSS investments. In addition, HCSS outcomes may be measured by assessing how the effects of specific identified weaknesses, gaps or bottlenecks have been reduced as a result of HCSS investments, or, by assessing how the performance of a specific component (or a function) of the system improves. Where possible, HCSS outcome/impact measurement should be an integral part of a country’s national health information systems, in order to avoid the necessity of measuring additional indicators. However, given that community systems performance is seldom if ever captured by national health sector information systems, additional methods for evaluating the outcome and impact of investments in community systems strengthening should also be developed. 6. Integrating Gender, Human Rights, RMNCH and Other Cross-cutting Issues in HCSS Human rights violations and gender inequalities are a root cause of vulnerability to AIDS, tuberculosis and malaria, and of the marginalization of certain groups from AIDS, tuberculosis and malaria programs. Upholding international human rights standards is essential for the overall success of national responses to three diseases. The Global Fund is committed to ensuring that it 24 does not support programs that infringe international human rights standards, to increasing investments in programs that address human rights-related barriers to access to services, and to integrating human rights considerations throughout the grant lifecycle. This commitment is equally applicable to both disease and cross-cutting HCSS investments. All Global Fund supported programs should recognize and address specific needs of women, girls, men who have sex with men, people who inject drugs, sex workers and transgender people, and other groups that are marginalized or highly affected by HIV/AIDS, tuberculosis and malaria. To promote gender equality and human rights in the response to the three diseases, the Global Fund may support programs that address stigma and discrimination and increase access to justice in each disease-specific program as enablers/synergies. Similarly, where relevant, cross-cutting HCSS grants should include human rights-based and gender sensitive/responsive programming, based on assessments of gender and human rights conditions, and developed with the meaningful participation of underserved and key populations at higher risk, including vulnerable or marginalized communities. Advocacy for legal reforms that enable provision of equitable and quality health services should be based on evidence, promote non-discrimination, and represent progress towards meeting states’ obligations under international human rights standards. When preparing cross-cutting HCSS funding requests, countries should explore where development synergies may already exist that aim to promote gender equality, to strengthen rule of law, accountability, and human rights standards. For example, in a country that already has programs in existence that are working to create new policies addressing discrimination in health systems, cross-cutting HCSS funding may be used to add HIV/AIDS, tuberculosis and malariarelated components and to ensure participation of affected communities to those programs. In high-burden countries where women and children account for a significant portion of the affected population for the three diseases, integration of RMNCH services offers opportunities for improvement of disease-specific outcomes. Beneficiaries seeking HIV/AIDS, tuberculosis, and malaria services and those seeking RMNCH services have common needs. Integrated services can save lives by ensuring women and children receive comprehensive care in one location and that opportunities to address co-infections and prevent mother-to-child transmission are not missed. Examples of cross-cutting RMNCH interventions that contribute to HCSS and may be supported by the Global Fund under cross-cutting HCSS funding requests include: Developing, implementing and monitoring health legislation, policies, and regulations Integrated training (pre- and in-service) to inform health providers and enable them to address RMNCH, HIV, TB and malaria interventions together and to meet the needs of key vulnerable populations such as women, children and adolescents Demand creation through community mobilization of women, men, and vulnerable populations such as adolescents Community-based service delivery, referral systems and community peer support to increase uptake and follow-up Not all gender or human rights programming is suitable for cross-cutting HCSS investment. To be eligible, programs must specifically contribute to the effective implementation of disease programs and must address country obligations under international human rights standards. General programs aimed at promoting rule of law and promoting the broad concept of gender equality, are not eligible for cross-cutting HCSS support. 25 Annex A: Indicative scope of Global Fund’s investments in HCSS The table below provides an indicative scope of HCSS interventions, which countries may consider for designing cross-cutting HCSS funding requests. The indicative scope does not imply a prescriptive approach to strengthening health and community systems. While it highlights the prioritization of the Global Fund’s resources for HCSS investments, it is also meant to provide enough flexibility for designing activities based on country-specific needs. For example, under intervention 1.2, Country-A may request funding for developing referral system regulations, Country-B for installing a hospital accounting system, and country-C for improving hospital waste management system and Country-D for building the capacity of women’s organizations to engage in health assessment, planning and monitoring processes. Similarly, under intervention 1.3, illustrative examples of proposed activities may include - revision of clinical guidelines, or standardizing terms of reference for community health volunteers. In many cases addressing specific system bottlenecks or weaknesses will require a complex approach by combining interventions classified under more than one components of health and community systems. For example, addressing poor technical capacity and shortage of qualified health and community workers may be addressed by scaling-up training programs, but in order to increase the effectiveness of the intervention and to sustain its outcome, it can be combined with upstream interventions such as for example developing policies for equitable allocation of qualified workforce to hard-to-reach areas, and developing financial mechanisms for workers’ retention incentives. Such an integrated approach to designing complex interventions is encouraged, but proper justification should be provided to explain why the proposed combination was considered effective for addressing the identified system bottleneck, weakness or gap. 26 System components Illustrative List of Interventions 1.Scale-up and improve accessibility and quality of service delivery, including community level services 1.1. Scaling-up or improving service infrastructure (except large-scale construction projects) 1.2. Improving service organization & facility/community based organization management 1.3. Improving quality of services and interventions 1.4 Development and implementation of referral and support networks and systems in particular between health and community system entities; 1.5. Skills building for facility and community-level service delivery, advocacy & leadership in integrated services such as TB/HIV, SRHR, comprehensive PMTCT, maternal and child health and protection; 1.6. Improving community-level service availability, use and quality, and equitable reach 1.7 Advocacy on legal and policy frameworks e.g. decriminalization of behaviors or marginalized groups; development and enforcement of child protection policies; 2. Produce, distribute and retain skilled health and community workforce 2.1. Providing or improving pre-service and in-service training to all service providers, health and community workers 2.2. Scaling-up health and community workforce 2.3. Supporting health and community workforce retention 2.4 Technical capacity building for health support roles at the community level 2.5 Capacity and skills building to enable health workers and community level personnel to work effectively, safely and ethically; 3. Strengthen procurement & supply chain management system 3.1. Scaling-up or upgrading PSM infrastructure 3.2. Improving operationalization of PSM system (and strengthen linkages with other health services such as SRHR and RMNCH) 3.3 Supporting community level monitoring of PSM (e.g. early warning systems of stock outs) 4. Strengthen Health and community information systems 4.1. Scaling-up or improving routine M&E including sex and age disaggregation of coverage and reach data 4.2. Improving community level M&E and evidence-building 4.3. Scaling-up or improving analytical and research capacity 4.4. Scaling-up or improving epidemiologic and disease surveillance systems 4.5 Contributing to improved “knowledge management” by supporting sharing of information, tools, good practices etc. within communities. 4.6 Building systems to provide reliable information on the role and functions of community systems, needs assessments, and gap analyses 5. Empower community and other local actors 5.1. Supporting community-led advocacy, communication and social mobilization and communication strategies 5.2. Strengthening and scaling-up resources and capacity of community groups and networks 5.3 Mobilization of communities and key affected populations to engage actively with decision makers, and represent community issues in major discussion forums relating to health and rights, especially for allocating resources and for reflecting the health and rights issues in the National Strategic Plan. 5.4 Mapping of challenges, barriers and rights violations experienced by key affected populations and developing policy analysis, recommendations and strategies to improve the environment; 5.5 Development of communication, participation and leadership skills for working with communities and individuals and implementing local advocacy initiatives; 5.6 Developing strategies and plans for community systems strengthening 6. Create enabling legal, policy and regulatory environments 6.1 Developing, ratifying and executing evidence-based, non-discriminatory laws, policies, regulations, coordination and supervision mechanisms; advocacy aimed at promoting appropriate legal and policy reform 6.2 Building capacity to implement laws, policies and regulations; supporting litigation 6.3 Developing and supporting independent mechanisms to supervise, monitor and report on implementation of laws and policies 6.4 Advocacy for better governance on decision-making, policy-making and use of resources by public institutions 6.5 Ensure meaningful participation of community actors in national consultative forums, including policy, planning and other decision making bodies; 6.6 Develop national partnership platforms and national level advocacy coordination mechanisms; 6.7 Monitoring and documentation of community and government interventions 6.8. Improve strategic and operational planning, management, accountability and leadership, including for community systems 6.9. Build community linkages, collaboration and coordination 7. Ensure adequate financing of the health and community system 7.1 Improving revenue collection, pooling and purchasing for ensuring financial sustainability of service delivery 7.2 Improving equity of healthcare and community level financing 7.3. Improving public financial management 7.4 Assessing the level of funding required for community-level service delivery 7.5 Development and management of funding schemes for communities, including core support such as social transfers for vulnerable people, social welfare services, child protection and health-related income generating activities; 7.6 Development and management of schemes for remunerating community outreach workers and volunteers or providing other incentives and income-generation support. 7.7 Physical infrastructure development, including obtaining and retaining office space and equipment, improving communications technology, provision and maintenance of transport for community based organizations; Table 4: Indicative scope and illustrative examples of the Global Fund’s investments in HCSS 28