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Option for appeals

RULES GOVERNING THE GLOBAL FUND’S APPEAL MECHANISM FOR
APPLICATIONS NOT APPROVED FOR FUNDING

Part 1: Background

1. At its Fourth Board Meeting, the Board of the Global Fund to Fight AIDS, Tuberculosis and Malaria (‘the Global Fund’) decided that an appeal mechanism should be introduced to provide applicants not approved for funding under the Rounds-based channel with an option to have their application reconsidered at the international level, this right of reconsideration being the sole recourse available.
   
   
2. At its Fourteenth Board Meeting, the Board decided to extend the availability of an appeal option to applicants not approved for funding under the Rolling Continuation Channel.
   
   
3. Funding decisions of the Board are made based on recommendations of the Technical Review Panel (‘TRP’), the terms of reference for which set out the categories in which proposals may be recommended for funding.
   
   
4. The following rules governing the appeal mechanisms (‘Appeal’) available under the Rounds-based channel and the Rolling Continuation Channel (‘Rules’) set out the sole entitlement that applicants have to request a review of a Board decision to not provide funding for their application, to the exclusion of any other right whatsoever.

Part 2: Eligibility to Appeal

5. Subject to the grounds of appeal set out in part 3 below:
   
   
   1. under the Rounds-based channel, any applicant of a proposal containing a disease component which has not been approved for funding by the Board in its current form (category 3) and/or rejected (category 4) in two consecutive Rounds may appeal the decision of the Board in respect of the most recent proposal in accordance with these Rules; and
      
      
   2. under the Rolling Continuation Channel, any applicant whose proposal is not approved for funding by the Board (category 3) or rejected as materially different (category 4) may appeal the Board’s decision in accordance with these Rules.

6. An applicant for Appeal cannot submit a proposal for the same disease that is the subject of the Appeal, from the time the Appeal is submitted to the Secretariat until a decision on such an Appeal is made and the applicant is notified. Any proposal on the same disease already received by the Secretariat and not decided by the Global Fund Board shall be suspended until final decision on the Appeal has been taken.
   
   
7. An Appeal may be made only once in respect of any proposal (or disease component in the case of the Rounds-based channel) not approved for funding.
   
   
8. A change in an applicant’s income level does not affect their right to Appeal a decision not to fund the proposal.

Part 3: Grounds for an Appeal

9. The only grounds for an Appeal are that the TRP made a significant and obvious error regarding the information contained in the proposal not approved for funding, as that proposal was comprised at the time of proposal review by the TRP. For the purposes of these Rules, the words “a significant and obvious error” shall be given their plain meaning.
   
   
10. No new information or new justification to what was contained in the proposal may be introduced in an Appeal.

Part 4: Time Limit to File an Appeal

11. An Appeal must be filed with the Secretariat no later than 28 days from the date on which the applicant received written notice of the decision which is the subject of the Appeal.
    
    
12. The 28 day time limit shall commence on the calendar day following the day the original notice, sent by courier, was received by the applicant, as evidenced by the courier’s records demonstrating the date on which the notice was delivered to the applicant.
    
    
13. For the purposes of time computation, the date on which the Appeal was filed with the Secretariat shall be determined by reference to the postal stamp or courier collection records evidencing when the Appeal was sent by the applicant.
    
    
14. Where the last day of the period is a non-working day of the Secretariat or otherwise an official holiday recognized at the place of reception the last day of the period shall be the next following working day.
    
    
15. An Appeal received by the Secretariat after the 28 day deadline will not be accepted. The applicant will be notified of the late filing, and ineligible appeal in writing.
    
    
16. All appeals filed in respect of a Round, or a wave under the Rolling Continuation Channel will be collated by Round, or by wave, before an appeal panel (‘Appeal Panel’ as further described in part 7 below) will be convened to consider the appeals that have been filed.

Part 5: Format of an Appeal

17. Applicants who wish to appeal a decision of the Global Fund Board must use the form attached to these Rules (‘Appeal Form’).
    
    
18. The Appeal Form must:
    
    
    1. be signed, as applicable, by the Chair and Vice-chair of a CCM, Sub-CCM or RCM applicant, or an authorized officer of a Regional Organization or non-CCM applicant;
       
       
    2. be submitted within the time for appeal set out in part 4 above; and
       
       
    3. provide detailed reasons justifying the Appeal on the grounds specified in part 2 above.
       
       
19. Appeals may be filed in any of the six official United Nations languages (Arabic, Chinese, English, French, Russian or Spanish). All Appeals filed in a language other than English will be translated into English, at the cost of the Global Fund, to facilitate the work of the Appeal Panel. Decisions on Appeals shall be made in English.
    
    
20. The applicant has no right to an oral hearing.

Part 6: Procedure for Appeal Review and Decision

21. The Appeal procedure comprises two stages:
    1. an assessment of the merits of the Appeal by the Appeal Panel and a recommendation by the Appeal Panel to the Global Fund Board; and
    2. a decision by the Global Fund Board.

Part 7: Appeal Panel

22. The Appeal Panel shall be comprised of five experts as follows:
    
    
    1. an expert nominated by each of the Stop TB Partnership, Roll Back Malaria Partnership and UNAIDS, in close collaboration with WHO Tuberculosis, HIV and AIDS and Malaria departments (collectively, the ’Independent Members’); and
       
       
    2. two current TRP members provided that neither expert was the primary or secondary reviewer of the specific proposal under review by the Appeal Panel.
       
       
23. No Appeal Panel member may have a significant relationship with the applicant according to the Global Fund Policy on Ethics and Conflict of Interest.
    
    
24. The independent Members may serve on the Appeal Panel for two consecutive years.
    
    
25. Commencing from Round 8, employees of the United Nations and its specialized agencies are ineligible to serve as members of the Appeal Panel.
    
    
26. The Appeal Panel shall strive for decisions by consensus. If no consensus is reached, a recommendation to the Board on approval or rejection shall be made by simple majority.
    
    
27. The Appeal Panel shall consider Appeals by such procedures as it deems appropriate, provided that:
    
    
    1. an assessment is made only on the grounds set out in the Appeal Form using the same internal criteria as applied by the TRP when reviewing the proposal that is the subject of the Appeal; and
       
       
    2. no communication between the Appeal Panel and the applicant shall take place, and the applicant may not submit additional or complementary information beyond what is contained in the initial Appeal Form.
       
       
28. The Appeal Panel may recommend that the Board:
    
    
    1. rejects the Appeal and thereby confirm the decision which is the subject of the Appeal; or
       
       
    2. accepts the Appeal with or without further clarifications or adjustments, together with a change to the category of the proposal to a ‘Recommended Category 2 Proposal’.
       
       
29. The assessment and recommendations of the Appeal Panel must be made in writing to the Board.
    
    
30. Typically, the Appeal Panel must consider all eligible Appeals:
    
    
    1. within four weeks of the Secretariat’s receipt of all potential Appeals for a relevant Round under the Rounds-based channel; and
       
       
    2. within two weeks of the Secretariat’s receipt of all potential Appeals for a specific wave under the Rolling Continuation Channel; and
       
       
    3. present its recommendations to the Board in either case as soon as practicable thereafter.

Part 8: Board Decision on Appeals

31. The Board shall decide whether or not to accept an Appeal on the basis of the Appeal Panel’s recommendation only.
    
    
32. The Board’s decision on an Appeal is final.
    
    
33. Decisions of the Board on Appeals are taken in accordance with the Bylaws and Board Operating Procedures of the Global Fund.
    
    
34. The Secretariat shall dispatch writing notification to the applicant of the decision of the Board within 10 days after the Board decision.

Part 9: Exclusive Remedy and Effect of Appeal

35. The Board's decisions to approve or not approve proposals and Appeals, as well as whether grant agreements should be concluded, are made on a discretionary basis and subject to availability of funds for the proposals.
    
    
36. Board decisions on Appeals shall be final and binding and not subject to any further review by any court of competent jurisdiction or any other body. Neither the members of the Appeal Panel nor any member of the Board or Secretariat shall be liable for any act or omission in connection with any Appeal conducted under these Rules.

Part 10: Costs

37. The expenses of the Appeal Panel shall be borne by the Global Fund. The expenses of preparing an Appeal Form and filing it with the Secretariat shall be borne by the applicant.
    
    
38. Neither the Global Fund nor any applicant shall be liable for the payment of expenses or fees charged by an attorney or other representative who assists the other in any way in the Appeal Mechanism.

Part 11: Confidentiality and Disclosure of Information

39. The proceedings of the Appeal shall be treated as confidential.
    
    
40. Appeals approved by the Board and the Board’s decisions on those Appeals may be published on the Internet site for the Global Fund and in the Global Fund Annual Report.
    
    
41. These Rules are published on the Internet site for the Global Fund.

Part 12: Review and Amendment of these Rules

42. The efficiency and effectiveness of the Appeal mechanism may be reviewed by the Global Fund at any time. The Board may decide to amend and or revoke these Rules accordingly. Amendments and/or termination of these Rules shall only apply to Appeals made after entry into force of such amendment and/or termination.

Part 13: Entry into force

43. These Rules shall come into force on the date of their publication on the Internet site for the Global Fund.