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
Picture: Madagascar. File name: YA Antananarivo
ARCH/300704/1

3. The Global Fund grant process
Grant process key dates
Proposals Submitted
1.3 Screening
Eligible Proposals Selected
1.4
TRP Review
TRP
Recommendations
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
I. Proposals Management
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
End of Phase 2 Support
Latest version from Liz 1 July 2004
ARCH/300704/3

4. Proposals management CCM Principal Recipient Partners Local Fund Agent
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
1.6
TRP Clarification
(as required)
Proposals Submitted
Eligible Proposals Selected
TRP
Recommendations
Board Approval
TRP Chair/Vice Chair Sign-off (Final Board Approval)
CCM
Submit proposals
Reply to TRP
Principal
Recipient
Help CCM develop and
submit grant proposals
Partners
Local Fund
Agent
Decide on proposals based on TRP recommendations
Board
Decide timing of Call for Proposals
From Liz as of 1 July pm
Secretariat
Prepare Guidelines for Proposals
Screen proposals for eligibility
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)
Grant Signing & 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
Principal
Recipient
Confirm nomination of PR (if necessary)
Assist in preparing Budget and Workplan, indicators, PSM and M&E Plans; Negotiate and sign Grant Agreement; Make 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
Partners
Local Fund
Agent
Assess proposed PR’s capacity; Review Budget and Workplan, indicators, PSM and M&E Plans; Facilitate grant negotiations; Provide recommendation on first disbursement request
Enter into contract with Global Fund
From Liz as of 1 July pm
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
Secretariat
Assess suitability
of nominated PR
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
3.1 Ongoing Reviews & Disbursements
3.3 Phase 2 Grant Renewal Process
3.4 Grant Extension
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
CCM
Submit Request for Continued
Funding for Phase 2
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
Local Fund
Agent
Monitor grant implementation; Verify PR reports of progress; Provide recommendations on ongoing disbursements
Provide recommendation
Regarding Phase 2 Funding
Board
As needed, revise policies governing grants management;
From Liz as of 1 July pm
Commit resources for Phase 2 Renewals
Decide to disburse based on performance; Work with partners to assure support to PR implementation
Secretariat
Review Phase 2 Request for Continued Funding
Negotiate Phase 2
Grant Extension
Technical Review Panel
Assess Phase 2 funding request if requested
Provide technical review of requests for changes in scope of grants
Trustee
Disburse funds in accordance with written instruction of Secretariat
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:
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
1-3 weeks
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
Picture: Cambodia – File name: IH traditional basket carrier
PBF/300704/2

11. Performance-based funding: What
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
Decision category
Grant 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
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

16. Successful implementation at scale
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
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
Successful implementation at scale
Be- your notes say that there are more slides on partnerships (maybe from a UNAIDS meeting in April or May), but I still don’t have them.
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