Presentation on theme: "TGF/LOG/150804/1 Grant Life Cycle. Global Fund architecture Grant process –Proposals management –Grant negotiations –Performance-Based Funding –Phase."— Presentation transcript:
Global Fund architecture Grant process –Proposals management –Grant negotiations –Performance-Based Funding –Phase 2 decision Disbursement process ARCH/300704/1
Grant process key dates Proposals Submitted 1.3 Screening Eligible Proposals Selected 1.4 TRP Review TRP Recommend ations TRP Chair/Vice Chair Sign-off (Final Board Approval) 1.5 Board Approval 1.6 TRP Clarification (as required) Call for Proposals 1.1 Future Round Planning 1.2 Guidelines for Proposal Refinement & Call for Proposals Board Approval I. Proposals Management Board Approval Grant Start Grant Renewal (2 years) Grant End (up to 5 years) The Global Fund grant process Grant Signing 2.1 CCM Confirmation of PR Nomination PR Nomination Confirmed Grant Signing & First Disbursement 2.2 LFA Selection and Contracting II. Grant Negotiation and First Disbursement Grant Negotiations 2.4 Review of Budgets, Workplan, and Indicators 2.5 Negotiation (including conditions precedent) 2.6 First Disbursement Preparation LFA Contracted 2.3 PR Assessments 18 months since first disbursement 3.3 Phase 2 Grant Renewal Process Updated Grant Agreement 3.5 LFA Management Phase 2 Go/No Go Decision 3.4 Grant Extension 3.6 Grant Support Performance-based Funding 3.1 Ongoing Reviews & Disbursements 3.2 Grant Revisions III. Performance-Based Funding and Grant Support Performance-based Funding 3.1 Ongoing Reviews & Disbursements 3.2 Grant Revisions End of Phase 2 Support ARCH/300704/3
TRP Chair/Vice Chair Sign-off (Final Board Approval) 1.3 Screening 1.4 TRP Review 1.5 Board Approval 1.6 TRP Clarification (as required) Call for Proposals 1.1 Future Round Planning 1.2 Guidelines for Proposal Refinement & Call for Proposals Eligible Proposals Selected TRP Recommend ations Board Approval Proposals Submitted Submit proposals Reply to TRP Decide timing of Call for Proposals Screen proposals for eligibility Review proposals; make funding recommendations on proposals Help CCM develop and submit grant proposals Review clarifications, make final decisions Prepare Guidelines for Proposals Decide on proposals based on TRP recommendations Technical Review Panel CCM Board Partners Local Fund Agent Trustee Principal Recipient Secretariat Proposals management 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 Determine policies governing grants management Confirm nomination of PR (if necessary) Assist in preparing Budget and Workplan, indicators, PSM and M&E Plans; Sign Grant Agreement (as acknowledgement only) Disburse funds in accordance with written instruction from Secretariat Assess suitability of nominated PR Identify and contract LFA 2.1 CCM Confirmation of PR Nomination PR Nomination Confirmed Grant Negotiations Grant Signing & First Disbursement 2.3 PR Assessments 2.4 Review of Budgets, Workplan, and Indicators 2.5 Negotiation (including conditions precedent) 2.2 LFA Selection and Contracting LFA Contracted 2.6 First Disbursement Preparation Assess proposed PRs capacity; Review Budget and Workplan, indicators, PSM and M&E Plans; Facilitate grant negotiations; Provide recommendation on first disbursement request Provide previous reviews and assessments of the PR to the LFA; Assist in preparing Budget and Workplan; indicators; PSM and M&E Plans Assist in preparing Budget and Workplan, indicators, PSM and M&E Plans; Negotiate and sign Grant Agreement; Make first disbursement request Review Budget and Workplan, indicators, PSM and M&E Plans; Negotiate and sign Grant Agreement; Decide to disburse Enter into contract with Global Fund CCM Board Technical Review Panel Partners Local Fund Agent Trustee Principal Recipient 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?
18 months since first disbursement 3.3 Phase 2 Grant Renewal Process Updated Grant Agreement Phase 2 Go/No Go Decision 3.4 Grant Extension Performance-based Funding 3.1 Ongoing Reviews & Disbursements 3.2 Grant Revisions Performance-based funding & grant support Negotiate Phase 2 Grant Extension Negotiate Phase 2 Grant Extension Facilitate negotiation of Phase 2 Grant extension Provide technical review of requests for changes in scope of grants Review Phase 2 Request for Continued Funding Provide comments/assessments to CCM and to Global Fund regarding program performance Provide recommendation Regarding Phase 2 Funding Commit resources for Phase 2 Renewals Submit Request for Continued Funding for Phase 2 Monitor grant implementation; Verify PR reports of progress; Provide recommendations on ongoing disbursements Disburse funds in accordance with written instruction of Secretariat Assess Phase 2 funding request if requested Decide to disburse based on performance; Work with partners to assure support to PR implementation Legally accountable for grant implementation; Request disbursements and provide periodic reports of progress Support PR with capacity building and technical assistance throughout program implementation As needed, revise policies governing grants management; Oversee implementation process; Coordinate with other donors and domestic programs Secretariat Technical Review Panel Board CCM Partners Principal Recipient Local Fund Agent Trustee ARCH/300704/6
Disbursement process LFA recommendation and request Trustee to disburse Complete conditions precedent to first disbursement Disbursement to PR bank account Responsibility:PRGlobal FundTrustee Ongoing disbursements First disbursement Timeframe: Variable (days to months) Typically <1 week1-3 weeks Disbursement to PR bank account Review of progress and request Trustee to disburse Completion of any additional conditions precedent Disbursement request and program update Responsibility: PRGlobal FundTrustee Timeframe: Variable (by grant agreement) Typically 1-3 weeks 1-3 weeks PR Typically 45 days after quarter close Grant signing ARCH/300704/7
Performance-based funding The Global Funds 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 CCMs 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 Financial monitoring Performance- Based Funding 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
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) 25 one year old grants: Disbursement rates by performance status PRS/300704/22
Performance rating system Decision categoryGrant Performance rating Contextual considerations Go Phase 2 grant committed for the remaining proposal period (years 3-5) A expected or exceeding expectations and No or minor contextual issues Conditional go Phase 2 grant committed conditional upon time-bound actions to be taken by the PR/CCM (maximum 1 year) B1 Adequate and/or Major contextual issues that can be addressed by the PR/CCM Revised go CCM/PR reprogramming (targets and Budget substantially revised for Phase 2) subject to Global Fund approval B2 inadequate but potential demonstrated and/or Major recent improvements in program supporting environment No go* Phase 2 grant not committed *requires Board Decision C unacceptable or Critical contextual risks beyond PR and/or CCM control M&E/300704/9
Technical partnerships with and local support from multilateral and bilateral agencies are critical to credible and consistent collection of data for M&E Successful implementation at scale 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 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 role of partnership PART/300704/1
WHO technical assistance Success rates for Round 4 14 13 8 14 15 2742 27+42= 69 components recommended in Round 4 5 PART/300704/2