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The Fund’s First 124 “Phase 2 Renewals”
GFO Issue 56

The Fund’s First 124 “Phase 2 Renewals”


Bernard Rivers

Article Type:

Article Number: 1

ABSTRACT Only 23% of the Global Fund grants that have reached the end of their second year have met or exceeded the performance targets that were set by the applicants when they submitted their original proposals to the Fund. A further 56% of grants were deemed by the Fund to have performance that did not meet expectations, but was adequate; 20% were deemed to have performance that was inadequate, but potential had been demonstrated; and 2% had performance that was unacceptable.

Only 23% of the Global Fund grants that have reached the end of their second year have met or exceeded the performance targets that were set by the applicants when they submitted their original proposals to the Fund. These grants were rated “A” by the Fund’s Secretariat. A further 56% of grants were rated B1 (“Grant performance has not met expectations, but has been adequate”), 20% were rated B2 (“Grant performance has been inadequate, but potential has been demonstrated”), and 2% were rated C (“Grant performance has been unacceptable”).

From its very start, the Global Fund has been guided by two principles that at times conflict with each other. The first of these principles is that each grant is “country-led” – meaning that it’s for the recipient country to decide how to run the grant. The second principle is that each grant is “results-based” – meaning that if the grant doesn’t deliver the promised results, the Fund has the right to terminate the grant part-way through.

The conflict between these two objectives arises when the Global Fund Secretariat sees that a grant is in trouble. At such a time, should the Fund intervene with suggestions (or, indeed, instructions) regarding what should be done about that grant, or should it remain silent?

Thus far, the Fund has taken a generally hands-off approach in such situations – except when the grant is approaching the end of its second year, at which point the Fund briefly gets much more involved. This is because this is when the Fund has to decide whether the grant should receive the funding to enable it to move from Phase 1 (i.e. Years 1-2) to Phase 2 (Years 3-5).

To help the Board decide whether to approve Phase 2 funding for a particular grant, the Secretariat performs a thorough evaluation of the grant. In the course of this, it compiles a detailed and fairly candid “Grant Scorecard” which is confidential until the Secretariat and the Board have agreed on whether to approve Phase 2, but then is made publicly available at the Fund’s website.

Each Grant Scorecard assesses many aspects of the grant’s performance, and then combines these assessments into an “Overall Grant Rating”, which can have the following values:

A: Grant performance has met or exceeded expectations

B1: Grant performance has not met expectations, but has been adequate

B2: Grant performance has been inadequate, but potential has been demonstrated

C: Grant performance has been unacceptable

Separately, the Secretariat assesses “Contextual Considerations,” which relate to factors beyond the control of those involved in grant implementation but that can have an impact on the chances of success.

Finally, after taking into account the “Overall Grant Rating” and the “Contextual Considerations,” the Secretariat makes one of the following recommendations:

“Go”: The grant should be approved for Phase 2 (i.e. Years 3-5)

“Conditional Go”: The grant should be approved for Phase 2, on condition that specified actions are taken by the PR and/or CCM within a specified time period.

“Revised Go”: The grant should be approved for Phase 2, subject to specified major changes being made from the original proposal.

“No Go”: The grant should not be approved for Phase 2, and should therefore be terminated.

Usually the Board agrees with the Secretarit’s recommendation, but occasionally it disagrees. When that happens, the Board and Secretariat re-examine the situation and attempt again to reach agreement. If that is not possible, the final decision is made by the Board after obtaining some input from the Technical Review Panel (TRP).

With the 124 grants for which the Board has thus far made a Phase 2 decision, the Secretarit’s ratings were as follows:

Rating Number of grants Percent
A 28 23%
B1 69 56%
B2 25 20%
C 2 2%
Total 124 100%

The final Board decisions were as follows:

Board decision Number of grants Percent
Go 63 51%
Conditional Go 59 48%
Revised Go 0 0%
No Go 2 2%
Total 124 100%

For each of the 124 grants, the Fund provides at the above-mentioned Grant Scorecards. These contain not just the Grant Rating, but also some fairly candid comments about the grant. These range from the positive (e.g. “The PR has managed the program efficiently, with the CCM playing an important oversight role. The program has collaborated with partners and responded to problems particularly well, improving its ability to disburse to sub-recipients and in procurement after initial capacity difficulties.”) to the fairly negative (e.g. “The Program had a slow start, with sluggish capacity building efforts and procurement delays… The overall management of the Program by the PR has been inadequate. The PR did not disburse funds to sub-recipients on a timely basis or in an effective manner. Late disbursements were largely due to the PR’s weak monitoring of reports submitted by the sub-recipients.”)

The Grant Ratings and the Board decisions for the 124 grants were as follows:

The 124 grants for which Phase 2 decisions have been made

Country Round Disease Component Grant number Grant Rating Board decision re Phase 2
Argentina 1 HIV/AIDS ARG-102-G01-H A Conditional Go
Armenia 2 HIV/AIDS ARM-202-G01-H A Go
Bangladesh 2 HIV/AIDS BAN-202-G01-H A Go
Benin 1 Malaria BEN-102-G01-M B1 Conditional Go
Benin 2 TB BEN-202-G02-T B1 Go
Benin 2 HIV/AIDS BEN-202-G03-H B1 Go
Bulgaria 2 HIV/AIDS BUL-202-G01-H A Go
Burkina Faso 2 HIV/AIDS BUR-202-G02-H A Go
Burundi 2 Malaria BRN-202-G02-M B1 Conditional Go
Burundi 1 HIV/AIDS BRN-102-G01-H B1 Go
Chad 2 TB TCD-202-G01-T B1 Conditional Go
Chile 1 HIV/AIDS CHL-102-G01-H B1 Go
Cambodia 1 HIV/AIDS CAM-102-G01-H B1 Conditional Go
Cambodia 2 HIV/AIDS CAM-202-G02-H B1 Conditional Go
Cambodia 2 Malaria CAM-202-G03-M B1 Go
Cambodia 2 TB CAM-202-G04-T B1 Conditional Go
Central African Republic 2 HIV/AIDS CAF-202-G01-H B1 Go
China 1 TB CHN-102-G01-T A Go
China 1 Malaria CHN-102-G02-M A Go
Columbia 2 HIV/AIDS COL-202-G01-H B1 Conditional Go
Costa Rica 2 HIV/AIDS COR-202-G01-H B2 Conditional Go
Cote d’Ivoire 3 TB CIV-304-G03-T A Go
Cote d’Ivoire 2 HIV/AIDS CIV-202-G01-H B1 Conditional Go
Croatia 2 HIV/AIDS HRV-202-G01-H B1 Go
Cuba 1 HIV/AIDS CUB-202-G01-H A Conditional Go
Democratic Rep. of Congo 2 TB ZAR-202-G01-T B1 Conditional Go
El Salvador 2 HIV/AIDS SLV-202-G01-H B1 Conditional Go
El Salvador 2 TB SLV-202-G02-T A Go
Estonia 2 HIV/AIDS EST-202-G01-H B1 Go
Eritrea 2 Malaria ERT-202-G01-M B1 Conditional Go
Ethiopia 2 HIV/AIDS ETH-202-G03-H B1 Conditional Go
Ethiopia 2 Malaria ETH-202-G02-M B2 Conditional Go
Ethiopia 1 TB ETH-102-G01-T B2 Conditional Go
Georgia 3 Malaria GEO-304-G02-M B1 Go
Georgia 2 HIV/AIDS GEO-202-G01-H B1 Go
Ghana 1 HIV/AIDS GHN-102-G01-H B1 Conditional Go
Ghana 1 TB GHN-102-G02-T B1 Conditional Go
Ghana 2 Malaria GHN-202-G03-M A Go
Guinea 2 HIV/AIDS GIN-202-G01-H B2 Conditional Go
Haiti 1 HIV/AIDS HTI-102-G01-H A Go
Haiti 1 HIV/AIDS HTI-102-G02-H B1 Go
Honduras 1 HIV/AIDS HND-102-G01-H B2 Conditional Go
Honduras 1 TB HND-102-G02-T B2 Conditional Go
Honduras 1 Malaria HND-102-G03-M B2 Conditional Go
India 2 TB IDA-202-G03-T B1 Conditional Go
India 2 HIV/AIDS IDA-202-G02-H B1 Conditional Go
India 1 TB IDA-102-G01-T A Go
Indonesia 1 TB IND-102-G01-T B1 Go
Indonesia 1 Malaria IND-102-G02-M B1 Conditional Go
Indonesia 1 HIV/AIDS IND-102-G03-H B2 Conditional Go
Jamaica 3 HIV/AIDS JAM-304-G01-H A Conditional Go
Jordan 2 HIV/AIDS JOR-202-G01-H A Go
Kazakhstan 2 HIV/AIDS KAZ-202-G01-H B1 Go
Kenya 2 TB KEN-202-G04-T B2 Conditional Go
Kenya 2 Malaria KEN-202-G05-M B2 Conditional Go
Kyrgyzstan 2 TB KGZ-202-G02-T B1 Go
Kyrgyzstan 2 HIV/AIDS KGZ-202-G01-H B1 Go
Lao PDR 2 TB LAO-202-G03-T A Go
Lao PDR 1 HIV/AIDS LAO-102-G01-H B2 Conditional Go
Lao PDR 1 Malaria LAO-102-G02-M B2 Conditional Go
Lesotho 2 TB LSO-202-G02-T B2 Conditional Go
Lesotho 2 HIV/AIDS LSO-202-G01-H B2 Conditional Go
Lutheran World Feder’n 1 HIV/AIDS WRL-102-G01-H B1 Go
Madagascar 1 Malaria MDG-102-G01-M B1 Go
Madagascar 2 HIV/AIDS MDG-202-G02-H A Go
Madagascar 2 HIV/AIDS MDG-202-G03-H B1 Go
Malawi 1 HIV/AIDS MLW-102-G01-H B1 Conditional Go
Mauritania 2 Malaria MRT-202-G02-M B1 Go
Mauritania 2 TB MRT-202-G01-T B1 Go
Moldova 1 HIV and TB MOL-102-G01-C A Go
Mali 1 Malaria MAL-102-G01-M B2 Conditional Go
Mongolia 1 TB MON-102-G01-T A Go
Mongolia 2 HIV/AIDS MON-202-G02-H A Go
Morocco 1 HIV/AIDS MOR-102-G01-H A Go
Multi-Country Africa 2 Malaria MAF-202-G01-M A Go
Multi-Country W. Pacific 2 HIV/AIDS MWP-202-G01-H B2 Conditional Go
Multi-Country W. Pacific 2 Malaria MWP-202-G02-M B1 Go
Multi-Country W. Pacific 2 TB MWP-202-G03-T B1 Go
Nicaragua 2 Malaria NIC-202-G01-M B1 Go
Nicaragua 2 TB NIC-202-G02-T B1 Go
Nicaragua 2 HIV/AIDS NIC-202-G03-H B1 Go
Peru 2 HIV/AIDS PER-202-G01-H B1 Conditional Go
Peru 2 TB PER-202-G02-T B1 Conditional Go
Pakistan 2 HIV/AIDS PKS-202-G01-H B2 Conditional Go
Pakistan 2 TB PKS-202-G03-T B2 Conditional Go
Panama 1 TB PAN-102-G01-T A Go
Philippines 2 Malaria PHL-202-G01-M B1 Go
Philippines 2 TB PHL-202-G02-T A Go
Romania 2 TB ROM-202-G02-T B1 Conditional Go
Romania 2 HIV/AIDS ROM-202-G01-H B1 Go
Rwanda 1 HIV and TB RWN-102-G01-C A Go
Senegal 1 HIV/AIDS SNG-102-G01-H C Conditional Go
Senegal 1 Malaria SNG-102-G02-M C No Go
Serbia 1 HIV/AIDS SER-102-G01-H B1 Conditional Go
Sierra Leone 2 TB SLE-202-G01-T B1 Conditional Go
Somalia 2 Malaria SOM-202-G01-M B1 Go
South Africa 1 HIV and TB SAF-102-G02-C B2 No Go
Sri Lanka 1 TB SRL-102-G03-T B1 Conditional Go
Sri Lanka 1 Malaria SRL-102-G01-M B1 Conditional Go
Sri Lanka 1 Malaria SRL-102-G02-M B1 Conditional Go
Swaziland 2 Malaria SWZ-202-G02-M B2 Conditional Go
Swaziland 2 HIV/AIDS SWZ-202-G01-H B1 Conditional Go
Tajikistan 1 HIV/AIDS TAJ-102-G01-H A Go
Tanzania 1 Malaria TNZ-102-G01-M B2 Conditional Go
Tanzania/Zanzibar 2 HIV/AIDS ZAN-202-G02-H B1 Go
Thailand 1 HIV/AIDS THA-102-G01-H B1 Conditional Go
Thailand 2 HIV/AIDS THA-202-G03-H B1 Go
Thailand 2 Malaria THA-202-G05-M B1 Conditional Go
Thailand 1 TB THA-102-G02-T B2 Conditional Go
Timor Leste (East Timor) 2 Malaria TMP-202-G01-M B1 Conditional Go
Togo 2 HIV/AIDS TGO-202-G01-H B2 Conditional Go
Ukraine 1 HIV/AIDS UKR-102-G04-H B1 Conditional Go
Uganda 1 HIV/AIDS UGD-102-G01-H B2 Conditional Go
Vietnam 1 TB VTN-102-G02-T B1 Go
Vietnam 1 HIV/AIDS VTN-102-G01-H B1 Go
Yemen 2 Malaria YEM-202-G01-M B2 Conditional Go
Zambia 1 HIV/AIDS ZAM-102-G01-H B1 Go
Zambia 1 Malaria ZAM-102-G02-M B1 Go
Zambia 1 TB ZAM-102-G03-T B1 Go
Zambia 1 HIV/AIDS ZAM-102-G04-H A Go
Zambia 1 Malaria ZAM-102-G05-M B1 Go
Zambia 1 TB ZAM-102-G06-T A Go
Zambia 1 HIV/AIDS ZAM-102-G08-H B1 Go
Zanzibar 1 Malaria ZAN-102-G01-M B1 Go
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