Audit and Investigations
- Ad hoc Site Visits
- Audit of Country Coordinating Mechanism Funding
- Global Fund Office of the Inspector General (OIG) Investigations and Audits
- Office of Audit and Investigations (OAI) Investigations
- Principal Recipient Audit
- Sub-recipient Audit
Capacity development and transition, strengthening systems for health
- A Strategic Approach to Capacity Development
- Capacity Development and Transition - Lessons Learned
- Capacity development and Transition Planning Process
- Capacity Development and Transition
- Capacity Development Objectives and Transition Milestones
- Capacity Development Results - Evidence From Country Experiences
- Functional Capacities
- Interim Principal Recipient of Global Fund Grants
- Legal and Policy Enabling Environment
- Resilience and Sustainability
- CCM Funding
- Grant Closure
- Budget Reallocation and Revision
- Expenses Management
- Project Management and Update in Atlas
- Revenue Management
Grant-Making and Signing
- Prepare and Finalize a Global Fund Budget during Grant-Making
- Prepare and Negotiate Pre-allocation Budget
- Prepare and Negotiate Work Plan and Budget with the Global Fund
- Prepare Funding Request
- Project and Budget Formulation in Atlas
- Secure Banking Arrangements
- Grant Reporting
- Sub-recipient Management
Steps of Grant Closure Process
- 1. Global Fund Notification Letter 'Guidance on Grant Closure'
- 2. Preparation and Submission of Grant Close-Out Plan and Budget
- 3. Global Fund Approval of Grant Close-Out Plan
- 4. Implementation of Close-Out Plan and Completion of Final Global Fund Requirements (Grant Closure Period)
- 5. Operational Closure of Project
- 6. Financial Closure of Project
- 7. Documentation of Grant Closure with Global Fund Grant Closure Letter
- Terminology and Scenarios for Grant Closure Process
- Human resources
Human rights, key populations and gender
- Access to Medicines
- Integrating Human Rights, Key Populations and Gender in the Grant Lifecycle
- Objective of this Section
- UNDP’s Work on Human Rights, Key Populations and Gender
- Agreements with Sub-sub-recipients
- Amending Legal Agreements
- Implementation Letters and Management Letters
- Language of the Grant Agreement and other Legal Instruments
- Legal Framework for Other UNDP Support Roles
- Other Legal and Implementation Considerations
- Project Document
- Signing Legal Agreements and Requests for Disbursement
The Grant Agreement
- Grant Confirmation: Conditions Precedent (CP)
- Grant Confirmation: Conditions
- Grant Confirmation: Face Sheet
- Grant Confirmation: Limited Liability Clause
- Grant Confirmation: Schedule 1, Integrated Grant Description
- Grant Confirmation: Schedule 1, Performance Framework
- Grant Confirmation: Schedule 1, Summary Budget
- Grant Confirmation: Special Conditions (SCs)
- Grant Confirmation
- UNDP-Global Fund Grant Regulations
Monitoring and Evaluation
- Funding Request Development
- Global Fund M&E System Requirements
- M&E Components of Grant Implementation
- M&E Components of Grant-Making
- M&E components of grant reporting
- Principal Recipient Start-Up
Procurement and Supply Management
- Development of List of Health Products and Procurement Action Plan
- Distribution and Inventory Management
- Price and Quality Reporting (PQR) System
- Procurement of Non-health Products and Services
- Procurement of Pharmaceutical and Other Health Products
- Quality Control
- Rational use of Medicines and Pharmacovigilance Systems
- Strengthening of PSM Services and Risk Mitigation
- UNDP Health PSM Roster
- UNDP Quality Assurance Policy and Plan
- Communicating Results
- Grant Performance Report
- Performance-based Funding and Disbursement Decision
- PR and Coordinating Mechanism (CM) Communication and Governance
Reporting to the Global Fund
- First Disbursement, Execution Period and Reporting Calendar
- Progress Updates/Disbursement Request (PU/DR)
- Quarterly Financial Reporting to the Global Fund
- Tax Status Reporting
- UNDP Corporate Reporting
- Common Risks Identified in Global Fund Programmes
Global Fund Risk Management
- Global Fund Operational Risk Management
- Global Fund Requirements for Risk Management at Implementer Level
- Global Fund Local Risk Management Releated Policies
- Introduction to Risk Management
- Risk Management in High Risk Environments
- Risk Management in UNDP-managed Global Fund Grants
- Risk management in UNDP
- UNDP Risk Management in the Global Fund Portfolio
- Capacity Assessment and Approval Process
- Engaging Sub-recipients
- Managing Sub-recipients
- Selecting Sub-recipients
- Sub-recipient Audit
- Sub-recipient Management in Grant Lifecycle
- Audit and Investigations
Key Start-up Activities
1. Identify CO focal point to lead the implementation of the work plan
Under the supervision and guidance of the Country Office (CO) or Regional Service Centre (RSC) senior management, a member of the CO shall be designated to lead the implementation of the work plan and grant management arrangements in consultation with the UNDP Global Fund/Health Implementation Support Team.
2. Assess risk, CO capacity and prepare work plan
When first notified that UNDP is being considered for the Principal Recipient (PR) role, the CO or RSC, with support from the UNDP Global Fund/Health Implementation Support Team, should develop two key preparatory documents: 1) completed risk assessment tool; and 2) start-up/grant-making work plan.
In reviewing the risk, UNDP should send an official request to the Country Coordinating Mechanism (CCM) Secretariat and/or Global Fund Secretariat (depending on who is requesting UNDP as PR) for relevant documents related to the disease programme under previous implementation arrangements. A review of the information available on the Global Fund website should also be conducted, as should informal discussions with other technical partners (e.g. UNAIDS, WHO) who are familiar with the country context.
The work plan will clarify the financial and human resources required to support the start-up and to prepare the grant making documents (i.e. grant budget, performance framework, list of health products) required by the Global Fund for grant signing.
With agreement from the CO, the UNDP Global Fund/Health Implementation Support Team is available to undertake a mission to meet with the CO, technical partners and government to support with the start-up process and to plan for grant-making.
3. Plan Handover from outgoing PR
When UNDP is taking over from an outgoing PR, the following actions may be required depending on the country context:
- Obtain information on stocks of pharmaceuticals and health products to inform the development of the list of health products and Procurement Action Plan (PAP) during grant-making and to assess the risk of stock-out during the period of UNDP’s role as PR.
- Obtain information on previous grant performance, including Progress Updates/Disbursement Requests (PU/DRs), and Management Letters (MLs), to inform the implementation arrangements. If available on the Global Fund website, any information on challenges during implementation by previous PR (e.g. Grant Performance Report, OIG Report) should also be reviewed.
- The Global Fund requires that the outgoing PR provides a list of assets (including Sub-recipient (SR) assets) and will approve the disposal of those assets. UNDP should critically assess if the transfer of any of those assets should be made to them.
4. Prepare UNDP project document
Global Fund projects are not exempt from UNDP project arrangement requirements, as defined in the UNDP Programme and Operations Policies and Procedures (POPP).
A draft project document is developed and appraised by a designated Local Project Appraisal Committee (LPAC) as part of the defining a project stage of UNDP project management. Per UNDP POPP, the draft project document outlines the development challenges and project strategy based on the theory of change, expected outputs in the form of a completed results framework, multi-year work plan, management arrangements, and monitoring and evaluation plan.
Once the project document is further developed during the ‘initiating a project’ stage of UNDP project management, it needs be finalized and signed before project activities can begin. Should there be delays in signing the project document, as a last resort, the CO may request an advance authorization. An advance authorization permits the implementing partner to enter into commitments and incur expenditures without delay in accordance with a project document (or substantive revision document) that has been finalized but has not yet been signed by all the parties. An advance authorization is valid for 60 days only. It must be replaced with a fully signed project document (or substantive revision document) within 60 days.
Please refer to UNDP POPP on initiating a project for further guidance on project documents, their signatories and on advance authorization.
5. Prepare an advance payment mechanism request (if required)
In cases where resources are required prior to the start of the project (i.e. an advance payment mechanism is needed), a UNDP initiation plan also has to be prepared and approved by the designated LPAC. The purpose of the initiation plan is to allow the creation of a project in Atlas when funding is required (pre-allocation funding) prior to the project start date. Pre-allocated expenditures will be verified by the Local Fund Agent (LFA) and must be reflected in Atlas. For further guidance, please refer to UNDP POPP on defining and initiating a project.
The advance payment mechanism allows the Global Fund to approve a list of expenditures the PR may incur before grant signing. Expenditures agreed between the Global Fund and the PR as part of the approved advance payment mechanism budget and agreement will be reimbursed when the Grant Agreement has been signed and the first disbursement has been released.
Approved advance payment activities are pre-financed either through:
- Advance by the PR or CCM. The PR or CCM uses its own resources, which will be reimbursed from Grant Funds after the Grant Confirmation is signed; or
- Advance by the Global Fund. A transfer of funds by the Global Fund which will be deducted from Grant Funds after the Grant Confirmation is signed.
UNDP may request advance payment after TRP recommendation to proceed to grant-making has been received, and is responsible for preparing and submitting the advance payment request and supporting documentation. No advance of funds by the Global Fund is permitted prior to approval of such request, nor will any expenditures incurred prior to such approval be reimbursed from Grant Funds. Examples of eligible expenditures for international organization PRs (i.e. UNDP) are limited to early procurement of Health Products (e.g., time sensitive products such as bed nets) to ensure timely delivery and avert stock-outs.
The maximum pre-allocation amount for procurement of health products is equivalent to the planned procurement order amount for the first year based on approved Health Product Management Template. Pre-allocated expenditures will be verified by the LFA and must be reflected in Atlas.
The pre-financing budget must be endorsed by the CCM and agreed between the PR and the Global Fund before an advance payment mechanism could be signed.
The Global Fund’s Operational Policy Note on the Advance Payment Mechanism can be found in the Global Fund Operational Policy Manual.
6. Establish start-up team
CO or RSC senior management shall put in place a dedicated team for the preparation of the grant- making and agreement signing process. The minimum capacities for the start-up team include programme management, procurement and supply management, monitoring and evaluation. The requirements for the start-up team do, however, vary based on country context and should be properly assessed by the CO in collaboration with the UNDP Global Fund/Health Implementation Support Team.
Roles and responsibilities of start-up team members should be clarified as soon as the PR role has been assigned to the CO or RSC. It is often necessary to utilize existing CO staff time and supervisor approval to allocate time to the start-up should be sought. COs often underestimate the time required to fulfill the requirements of the start-up process, so sufficient resources should be availed.
For further guidance on the establishment of the start-up team, please refer to the human resources section of the Manual.
7. Initiate Emergency Procurement of health products (as required)
Based on estimated stock of key products at take over date and procurement lead times plan emergency procurement, if required.
8. Define PMU structure and terms of reference
A key factor in successful grant implementation is the development of a strong Project Management Unit (PMU) that has adequate and quality human resources to achieve compliance with the Grant Agreement. The structure of and terms of reference (TORs) for the PMU are developed during grant start-up. The structure of the PMU should be defined with support with the UNDP Global Fund/Health Implementation Support Team, with consideration to the following:
- There is considerable variation in PMU structures both across and within regions, which reflects the diversity of programme activities and level of risk. COs should determine PMU resource needs by viewing the grant in terms of its life cycle, as the structure may vary over time with surges of staff required during peak (e.g. net distribution campaigns as part of a malaria grant).
- The cost for the PMU (staff; operating costs) should be budgeted in the grant as direct costs for grant management.
- The establishment of the PMU should start as soon as possible to ensure that the required capacities are in place immediately after Grant Agreement signing.
The TORs for each PMU position should include the core competencies and clearly define the key responsibilities of their respective roles. The Global Fund/Health Implementation Support Team has put together basic TORs detailing the general scope of work of key PMU positions. Please note that these are not to be treated as final and will need to be adapted for programme context and sent to the Office of Human Resources (OHR) for classification. The TORs are available in the human resources section of the Manual.
9. Plan stakeholders engagement and communications
A communication strategy for the start-up should be developed to ensure regular communication with the Global Fund, CCM, and in-country partners including UN Agencies. The strategy established to inform on the development of grant-making and establish the needed coordination mechanisms for the implementation of the grants (it is recommended to maintain periodic meetings). These partners also include the CCM and Sub-recipients (SRs).
10. Sub-recipient selection and assessment
While UNDP cannot enter into agreement with SRs before the Grant Agreement is signed with the Global Fund, the selection and assessment of the SRs should take place as early as possible, to avoid delays. The costs associated with SR selection and assessment should therefore be included in the pre-financing budget, as they take place prior to the grant start date. For guidance on SR selection and assessment please refer to the Sub-recipient management section of the Manual.
With the recruitment of the permanent PMU typically not finalized until after grant signing, the responsibility of grant making falls to the start-up team.
As defined by the Global Fund, the purpose of grant making is to translate the funding request reviewed and assessed by the Technical Review Panel (TRP) and Grant Approvals Committee (GAC) into disbursement-ready grants for Board approval and signature.
- Complete PR Capacity Assessment Tool (CAT)
- With the TRP’s comments in mind, prepare required grant documents:
- implementation arrangement mapping;
- monitoring and evaluation (M&E) plan (if required);
- performance framework;
- detailed budget; and
- list of health products, quantities and costs.
- Submit all required documents to the Global Fund, for GAC approval followed by Board approval.
- Submit Signatory Authorization Forms (for legally-binding agreements AND requests for disbursements) to the Global Fund, along with the corporate identification(s) and specimen signature(s) of the signatory authority or authorities.
- Finalize Grant Agreement for signing.
For more detailed guidance on grant-making, please review to the OPN on grant-making and approval in the Global Fund Operational Policy Manual.
12. Setup PMU office
The start-up team should identify and initiate the rental of office space for the PMU.
13. Dissolve start-up team
The start-up team dissolves once key members of the PMU have been recruited.