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TGF/LOG/1508 04/1

Grant Life Cycle. TGF/LOG/1508 04/1. Global Fund architecture. Grant process Proposals management Grant negotiations Performance-Based Funding Phase 2 decision Disbursement process. ARCH/300704/1. I. Proposals Management . Call for Proposals. 1.3 Screening. 1.4 TRP Review. 1.5

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TGF/LOG/1508 04/1

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  1. Grant Life Cycle TGF/LOG/150804/1

  2. Global Fund architecture • Grant process • Proposals management • Grant negotiations • Performance-Based Funding • Phase 2 decision • Disbursement process ARCH/300704/1

  3. I. Proposals Management Call for Proposals 1.3 Screening 1.4 TRP Review 1.5 Board Approval 1.6 TRP Clarification (as required) 1.1 Future Round Planning 1.2 Guidelines for Proposal Refinement & Call for Proposals Board Approval Proposals Submitted Eligible Proposals Selected TRP Recommendations TRP Chair/Vice Chair Sign-off (Final Board Approval) The Global Fund grant process II. Grant Negotiation and First Disbursement 2.1 CCM Confirmation of PR Nomination 2.2 LFA Selection and Contracting Grant Negotiations 2.3 PR Assessments 2.4 Review of Budgets, Workplan, and Indicators PR Nomination Confirmed LFA Contracted 2.5 Negotiation (including conditions precedent) GrantSigning & First Disbursement 2.6 First Disbursement Preparation III. Performance-Based Funding and Grant Support Performance-based Funding Performance-based Funding 3.1 Ongoing Reviews & Disbursements 3.1 Ongoing Reviews & Disbursements 3.4 Grant Extension 3.3 Phase 2 Grant Renewal Process 3.2 Grant Revisions 3.2 Grant Revisions 18 months since first disbursement Phase 2 Go/No Go Decision Updated Grant Agreement 3.5 LFA Management 3.6 Grant Support End of Phase 2 Support Grant process key dates Board Approval Grant Signing Grant Start Grant Renewal (2 years) Grant End (up to 5 years) ARCH/300704/3

  4. Call for Proposals 1.1 Future Round Planning 1.2 Guidelines for Proposal Refinement & Call for Proposals Proposals management 1.3 Screening 1.4 TRP Review 1.5 Board Approval 1.6 TRP Clarification (as required) Proposals Submitted Eligible Proposals Selected Board Approval TRP Recommendations TRP Chair/Vice Chair Sign-off (Final Board Approval) CCM Reply to TRP Submit proposals Principal Recipient Help CCM develop and submit grant proposals Partners Local Fund Agent Decide on proposals based on TRP recommendations Decide timing of Call for Proposals Board Prepare Guidelines for Proposals Screen proposals for eligibility Secretariat Review proposals; make funding recommendations on proposals Technical Review Panel Review clarifications, make final decisions Trustee ARCH/300704/4

  5. Key Issues in Proposal Submission • Program and budget alignment • Alignment with previous submissions • Anticipating future program realities • Is the PR known? (UNDP?) • Follow up with grant negotiations • Opportunities/needs for technical assistance?

  6. Grant negotiation and first disbursement Grant Negotiations 2.3 PR Assessments 2.4 Review of Budgets, Workplan, and Indicators 2.1 CCM Confirmation of PR Nomination 2.2 LFA Selection and Contracting 2.5 Negotiation (including conditions precedent) GrantSigning & First Disbursement 2.6 First Disbursement Preparation PR Nomination Confirmed LFA Contracted Assist in preparing Budget and Workplan, indicators, PSM and M&E Plans; Sign Grant Agreement (as acknowledgement only) CCM Assist in preparing Budget and Workplan, indicators, PSM and M&E Plans; Negotiate and sign Grant Agreement; Make first disbursement request Confirm nomination of PR (if necessary) Principal Recipient Provide previous reviews and assessments of the PR to the LFA; Assist in preparing Budget and Workplan; indicators; PSM and M&E Plans Partners Assess proposed PR’s capacity; Review Budget and Workplan, indicators, PSM and M&E Plans; Facilitate grant negotiations; Provide recommendation on first disbursement request Local Fund Agent Enter into contract with Global Fund Board Determine policies governing grants management Identify and contract LFA Review Budget and Workplan, indicators, PSM and M&E Plans; Negotiate and sign Grant Agreement; Decide to disburse Assess suitability of nominated PR Secretariat Technical Review Panel Disburse funds in accordance with written instruction from Secretariat Trustee ARCH/300704/5

  7. Key Issues for Grant Negotiation • Budgets alignment • Indicator alignment • Work plan alignment • Technical assistance during implementation • Incorporating M&E • LFA assessments/CPs/capacity building • Opportunities/needs for technical assistance?

  8. Performance-based funding & grant support Performance-based Funding 3.1 Ongoing Reviews & Disbursements 3.4 Grant Extension 3.3 Phase 2 Grant Renewal Process 3.2 Grant Revisions 18 months since first disbursement Phase 2 Go/No Go Decision Updated Grant Agreement Oversee implementation process; Coordinate with other donors and domestic programs Submit Request for Continued Funding for Phase 2 CCM Principal Recipient Legally accountable for grant implementation; Request disbursements and provide periodic reports of progress Negotiate Phase 2 Grant Extension Support PR with capacity building and technical assistance throughout program implementation Provide comments/assessments to CCM and to Global Fund regarding program performance Partners Facilitate negotiation of Phase 2 Grant extension Monitor grant implementation; Verify PR reports of progress; Provide recommendations on ongoing disbursements Local Fund Agent Provide recommendation Regarding Phase 2 Funding As needed, revise policies governing grants management; Board Commit resources for Phase 2 Renewals Decide to disburse based on performance; Work with partners to assure support to PR implementation Negotiate Phase 2 Grant Extension Review Phase 2 Request for Continued Funding Secretariat Assess Phase 2 funding request if requested Technical Review Panel Provide technical review of requests for changes in scope of grants Disburse funds in accordance with written instruction of Secretariat Trustee ARCH/300704/6

  9. Disbursement process First disbursement Complete conditions precedent to first disbursement LFA recommendation and request Trustee to disburse Disbursement to PR bank account Grant signing Responsibility: PR Global Fund Trustee Timeframe: Typically <1 week 1-3 weeks Variable (days to months) Ongoing disbursements Completion of any additional conditions precedent Disbursement request and program update Review of progress and request Trustee to disburse Disbursement to PR bank account PR Global Fund Trustee PR Responsibility: Variable (by grant agreement) Typically 1-3 weeks 1-3 weeks Typically 45 days after quarter close Timeframe: ARCH/300704/7

  10. Performance-based funding The Global Fund’s system for Performance-Based Funding was developed in order to: • Relate disbursements to achievement of targets • Provide incentives for grantees to focus on results and timely implementation • Early identify opportunities to expand effective efforts and address potential issues • Provide a tool for the CCM’s oversight and monitoring purposes • Free up committed resources from non-performing programs for re-allocation to programs where results can be achieved PBF/300704/2

  11. Performance-based funding: What Performance-Based Funding Programmatic monitoring Financial monitoring Linking ongoing disbursement to attainment of programmatic results and financial expenditures PBF/300704/1

  12. Key Issues in Performance Base Funding • Reaching targets • Disbursements and utilization of funds • Procurement and activities • Sub-recipient performance • Timely reporting • Reliability of data • Opportunities/needs for technical assistance?

  13. Portfolio update: lessons learned • Good practices • Many grants are implementing, showing progress, and require minimal intervention • Strong management by Principal Recipients • Active CCMs, engaged in program oversight • Partners involved and providing technical assistance • Implementation challenges • Some grants are implementing at a concerning slow pace and unable to achieve targets and will require special intervention • Overambitious work plans and programs • Lack of capacity • Slow disbursements of funds • In some cases, lack of facilitation by the Global Fund • Capacity of partners to cope with growing technical assistance needs PERF/300704/2

  14. 25 one year old grants: Disbursement rates by performance status Status A: On track or substantially exceeding one year target (n=12) Status B: Substantial progress but fall short of one year targets (n=8) Status C: Substantially underachieving against one year targets (n=5) PRS/300704/22

  15. Performance rating system M&E/300704/9

  16. Technical partnerships with and local support from multilateral and bilateral agencies are critical to credible and consistent collection of data for M&E The role of partnership • Technical partners • Support countries in • proposal development • with operational plans • Provide on-the-ground • assistance to countries to • enable implementation • Assist in monitoring & • evaluation with reporting • systems & data gathering • Offer additionality of financial resources and coordination • The Global Fund • Provide substantial, sustained financing • Contribute to advocacy for • resources to partners • providing technical • support to grantees • Endorse and apply technical guidelines in reviews Successful implementation at scale PART/300704/1

  17. WHO technical assistance Success rates for Round 4 5 14 14 13 27 42 27+42= 69 components recommended in Round 4 8 15 PART/300704/2

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