OIG Audits Lead to Actions to Strengthen CCMs in Chad and Kazakhstan

Author:

David Garmaise

Article Type:

Article Number: 6

ABSTRACT In its audits of Global Fund grants in Chad and Kazakhstan, the Office of the Inspector General made a number of recommendations to strengthen the country coordinating mechanism in each country. This article reports on actions taken by the CCMs in response to the recommendations.

Country coordinating mechanisms (CCMs) in Chad and Kazakhstan have implemented measures to address weaknesses identified by the Office of the Inspector General (OIG) in audits conducted in 2010 and 2011.  Reports on the two audits were recently released.

Chad

In its audit report, the OIG identified several good practices at the Chad CCM, such as active participation by civil society, a high level of commitment on the part of the CCM Secretariat, and transparent processes for the preparation of meeting minutes. In addition, the OIG said, the CCM has performed its role of regular oversight and has suggested actions for improvement. Finally, the OIG noted that the CCM conducted an independent review of the capacity of a principal recipient (PR) candidate for Round 10 based on lessons learned from Round 9.

The OIG also observed that several aspects of the functioning of the CCM needed to be strengthened and it made a number of recommendations. In response, the CCM took the following actions (all documented in the audit report):

1. An expert in programme evaluation was added to the CCM Secretariat.
2. A PR monitoring plan that included site visits was drawn up.
3. Theme committees were established, including one on procurement and supply management. Development partners are represented on these committees.
4. The CCM adopted a communications policy.
5. The CCM manuals were revised.
6. A decision was taken that, in future, nominated PRs will identify SRs (instead of having the CCM do it).

In addition, to address concerns raised by the OIG regarding conflict of interest, the CCM’s governance documents were revised to provide for a diminished role for any member of the CCM whose organisation becomes a PR. The CCM’s conflict of interest policy was strengthened, and the CCM’s ethics committee was given responsibility for managing implementation of the policy.

Kazakhstan

In its audit, the OIG noted that in the period April–June 2011, a CCM secretariat was established, an oversight committee was created and the CCM conducted its first site visits.

The OIG identified several aspects of the functioning of the CCM that needed to be strengthened and it advanced a number of recommendations. In response, the CCM implemented the following actions (all documented in the audit report):

1. The CCM developed a website.
2. The CCM developed an annual work plan and an oversight plan.
3. A conflict of interest policy was developed and posted on the website. The new policy has already been used at several CCM meetings.
4. Working groups were established for PR selection. A competitive selection process was implemented for a Round 11 proposal.
5. Terms of reference for positions in the CCM secretariat were revised.
6. A competitive selection process was implemented to fill a vacant position in the CCM secretariat.
7. The CCM secretariat is paying for rent and office supplies from its own budget (instead of being dependent on the generosity of an SR).
8. The CCM developed plans to hire someone with expertise on financial issues. A transparent recruiting process will be undertaken by a working group of the CCM.

GFO reported on the overall results of the audits in Chad and Kazakstan in a separate article in this issue. All audit and investigation reports from the OIG are available on the Global Fund website here.