Grant Life Cycle TGFLOG1508041 Global Fund architecture Grant
Grant Life Cycle TGF/LOG/150804/1
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. 1 Future Round Planning 1. 2 Guidelines for Proposal Refinement & Call for Proposals 1. 3 Screening 1. 4 TRP Review 1. 5 Board Approval Proposals Eligible TRP Submitted Proposals Recommend Selected ations 1. 6 TRP Clarification (as required) Board Approval 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 PR LFA Nomination Contracted Confirmed Grant Negotiations 2. 3 PR Assessments 2. 4 Review of Budgets, Workplan, and Indicators 2. 5 Negotiation (including conditions precedent) Grant Signing & First Disbursement 2. 6 First Disbursement Preparation III. Performance-Based Funding and Grant Support Performance-based Funding 3. 1 Ongoing Reviews & Disbursements 3. 2 Grant Revisions Performance-based Funding 3. 3 Phase 2 Grant Renewal Process 18 months since first disbursement Phase 2 Go/No Go Decision 3. 4 Grant Extension Updated Grant Agreement 3. 1 Ongoing Reviews & Disbursements 3. 2 Grant Revisions 3. 5 LFA Management 3. 6 Grant Support End of Phase 2 Support Grant process key dates Board Approval Grant Signing Start Grant Renewal (2 years) Grant End (up to 5 years) ARCH/300704/3
Proposals management Call for Proposals 1. 1 Future Round Planning 1. 2 Guidelines for Proposal Refinement & Call for Proposals CCM 1. 4 TRP Review 1. 3 Screening Proposals Submitted Eligible Proposals Selected 1. 6 TRP Clarification (as required) 1. 5 Board Approval TRP Recommend ations Board Approval TRP Chair/Vice Chair Sign-off (Final Board Approval) Reply to TRP Submit proposals Principal Recipient Partners Help CCM develop and submit grant proposals Local Fund Agent Board Decide timing of Call for Proposals Secretariat Prepare Guidelines for Proposals Technical Review Panel Decide on proposals based on TRP recommendations Screen proposals for eligibility Review proposals; make funding recommendations on proposals Review clarifications, make final decisions Trustee ARCH/300704/4
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?
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 PR Nomination Confirmed 2. 5 Negotiation (including conditions precedent) LFA Contracted Assist in preparing Budget and Workplan, indicators, PSM and M&E Plans; Sign Grant Agreement (as acknowledgement only) CCM Principal Recipient 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) Provide previous reviews and assessments of the PR to the LFA; Assist in preparing Budget and Workplan; indicators; PSM and M&E Plans Partners Local Fund Agent Enter into contract with Global Fund Board Secretariat 2. 6 First Disbursement Preparation Grant Signing & First Disbursement Assess proposed PR’s capacity; Review Budget and Workplan, indicators, PSM and M&E Plans; Facilitate grant negotiations; Provide recommendation on first disbursement request Determine policies governing grants management Assess suitability of nominated PR Identify and contract LFA Review Budget and Workplan, indicators, PSM and M&E Plans; Negotiate and sign Grant Agreement; Decide to disburse Technical Review Panel Trustee Disburse funds in accordance with written instruction from Secretariat ARCH/300704/5
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?
Performance-based funding & grant support Performance-based Funding 3. 1 Ongoing Reviews & Disbursements 3. 2 Grant Revisions 3. 3 Phase 2 Grant Renewal Process 18 months since first disbursement 3. 4 Grant Extension Phase 2 Go/No Go Decision CCM Oversee implementation process; Coordinate with other donors and domestic programs Principal Recipient Legally accountable for grant implementation; Request disbursements and provide periodic reports of progress Partners Support PR with capacity building and technical assistance throughout program implementation Provide comments/assessments to CCM and to Global Fund regarding program performance Local Fund Agent Monitor grant implementation; Verify PR reports of progress; Provide recommendations on ongoing disbursements Provide recommendation Regarding Phase 2 Funding Updated Grant Agreement Submit Request for Continued Funding for Phase 2 Negotiate Phase 2 Grant Extension Facilitate negotiation of Phase 2 Grant extension As needed, revise policies governing grants management; Commit resources for Phase 2 Renewals Board Secretariat Decide to disburse based on performance; Work with partners to assure support to PR implementation Technical Review Panel Provide technical review of requests for changes in scope of grants Trustee Disburse funds in accordance with written instruction of Secretariat Review Phase 2 Request for Continued Funding Negotiate Phase 2 Grant Extension Assess Phase 2 funding request if requested ARCH/300704/6
Disbursement process First disbursement Grant signing Complete conditions precedent to first disbursement LFA recommendation and request Trustee to disburse Disbursement to PR bank account Responsibility: PR Global Fund Trustee Timeframe: Variable (days to months) Typically <1 week 1 -3 weeks 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 Responsibility: PR PR Global Fund Trustee Timeframe: Variable (by grant agreement) Typically 45 days after quarter close Typically 1 -3 weeks ARCH/300704/7
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
Performance-based funding: What Programmatic monitoring Performance. Based Funding Financial monitoring Linking ongoing disbursement to attainment of programmatic results and financial expenditures PBF/300704/1
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?
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
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
Performance rating system Decision category “Go” Phase 2 grant committed for the remaining proposal period (years 3 -5) “Conditional go” Phase 2 grant committed conditional upon time-bound actions to be taken by the PR/CCM (maximum 1 year) “Revised go” CCM/PR reprogramming (targets and Budget substantially revised for Phase 2) subject to Global Fund approval “No go”* Phase 2 grant not committed *requires Board Decision Grant Performance rating A expected or exceeding expectations B 1 Adequate B 2 inadequate but potential demonstrated C unacceptable Contextual considerations and No or minor contextual issues and/or Major contextual issues that can be addressed by the PR/CCM and/or Major recent improvements in program supporting environment or Critical contextual risks beyond PR and/or CCM control M&E/300704/9
The role of partnership Technical partnerships with and local support from multilateral and bilateral agencies are critical to credible and consistent collection of data for M&E The Global Fund Technical partners • Provide substantial, sustained financing • Support countries in proposal development with operational plans • Contribute to advocacy for resources to partners Successful providing technical implementation support to grantees at scale • Endorse and apply technical guidelines in reviews • 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 PART/300704/1
WHO technical assistance Success rates for Round 4 14 5 13 8 15 14 27 42 27+42= 69 components recommended in Round 4 PART/300704/2
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